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.
B••• H••••• C•••••• B••••••
- A••••••• F••••••••• L••• BD affiliated currentsince Dec 10, 2024 · Folsom, Ca
- Y••••••••• F•••••••• A•••••••• L•• formerJun 22, 2016 to Apr 2, 2020 · Corte Madera, Ca
- T•• K•••• F•••••••• G••••• I••• independent RIAJan 19, 2010 to Jul 21, 2015 · Rancho Mirage, Ca
- E••••• J•••• national BDMar 30, 2007 to Feb 14, 2008 · St Louis, Mo
- Y••••••••• F•••••••• A•••••••• L•• to A••••••• F••••••••• L•••left Apr 2, 2020, registered Dec 10, 2024 (1713 days) · RIA to affiliated broker-dealer or bank · moved with a team
- T•• K•••• F•••••••• G••••• I••• to Y••••••••• F•••••••• A•••••••• L••left Jul 21, 2015, registered Jun 22, 2016 (337 days) · Other
- E••••• J•••• to T•• K•••• F•••••••• G••••• I•••left Feb 14, 2008, registered Jan 19, 2010 (705 days) · Other
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address