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.
S••••• B••••• W••••
- L•• F•••••••• L•• BD affiliated currentsince May 1, 2025 · Bakersfield, Ca
- S•• I••••••••• A•••••••• I••• formerNov 28, 2011 to May 1, 2025 · Fresno, Ca
- M••••••••• I••• unclassifiedSep 6, 2011 to Jul 31, 2014 · Bakersfield, Ca
- M••••••••• I••• unclassifiedOct 16, 2008 to Aug 22, 2011 · Bakersfield, Ca
- B••••••••• L•• formerSep 5, 2007 to Nov 29, 2011 · Bakersfield, Ca
- S•• I••••••••• A•••••••• I••• to L•• F•••••••• L••left May 1, 2025, registered May 1, 2025 (0 days) · corporate re-registration, not a move
- M••••••••• I••• to S•• I••••••••• A•••••••• I•••left Jul 31, 2014, registered Nov 28, 2011 (-976 days) · Other
- B••••••••• L•• to M••••••••• I•••left Nov 29, 2011, registered Oct 16, 2008 (-1139 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address