RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
J•••• C• A•••••••
- R••••• W• B•••• • C•• I••••••••• mixed wealth currentsince Jan 4, 2024 · Roseville, Ca
- S•••••• N••••••• • C••••••• I••••••••• national BDMay 28, 2009 to Dec 31, 2023 · Lincoln, Ca
- W•••• F•••• A••••••• wirehouseApr 23, 2008 to May 13, 2009 · Lincoln Hills, Ca
- S•••••• N••••••• • C••••••• I••••••••• to R••••• W• B•••• • C•• I•••••••••left Dec 31, 2023, registered Jan 4, 2024 (4 days) · Affiliated broker-dealer or bank to independent RIA
- W•••• F•••• A••••••• to S•••••• N••••••• • C••••••• I•••••••••left May 13, 2009, registered May 28, 2009 (15 days) · Wirehouse to affiliated broker-dealer or bank
- J•••• C• A••••••• left S•••••• N••••••• • C••••••• I••••••••• for R••••• W• B•••• • C•• I••••••••• (registered 2024-01-04)Dec 31, 2023 · Advisor changed firm · fact
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wealth manager with institutional or fund businessderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address