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•••••• S•••• C•••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Apr 8, 2016 · Elk Grove, Ca
- W•••• F•••• A••••••• wirehouseJun 1, 2010 to Apr 14, 2016 · Santa Rosa, Ca
- W•••• F•••• I••••••••• L•• unclassifiedApr 27, 2010 to May 28, 2010 · Sacramento, Ca
- W•••• F•••• A••••••• wirehouseSep 10, 2008 to May 11, 2010 · Sacramento, Ca
- W•••• F•••• I••••••••• L•• unclassifiedJul 11, 2007 to Aug 25, 2008 · Roseville, Ca
- W•••• F•••• A••••••• to J••• M••••• S••••••••• L••left Apr 14, 2016, registered Apr 8, 2016 (-6 days) · Wirehouse to wirehouse
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left May 28, 2010, registered Jun 1, 2010 (4 days) · Other
- W•••• F•••• A••••••• to W•••• F•••• I••••••••• L••left May 11, 2010, registered Apr 27, 2010 (-14 days) · Other
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Aug 25, 2008, registered Sep 10, 2008 (16 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
- Wirehousederived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address