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.
P••••• G•••••• G•••••
- C•••••• A••••••• S•••••••• L•• independent RIA currentsince Oct 16, 2020 · Stockton, Ca
- G••••• A•••• M••••••••• G•••• unclassifiedFeb 10, 2010 to Nov 30, 2020 · Winter Springs, Fl
- F•••••••• L••••••••• A•••••••• I••• unclassifiedJan 21, 2008 to Oct 15, 2009 · Tracy, Ca
- G••••• A•••• M••••••••• G•••• to C•••••• A••••••• S•••••••• L••left Nov 30, 2020, registered Oct 16, 2020 (-45 days) · Other · moved with a team
- F•••••••• L••••••••• A•••••••• I••• to G••••• A•••• M••••••••• G••••left Oct 15, 2009, registered Feb 10, 2010 (118 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
- Independent wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address