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.
R••• B••••••
- P••• F•••••••• A•••••••• L•• independent RIA currentsince Dec 17, 2024 · San Diego, Ca
- B••• O••• F••••••••• L•• unclassifiedMay 1, 2020 to Dec 26, 2024 · Rocklin, Ca
- F••••• I••••••••• independent RIANov 26, 2019 to Apr 28, 2020 · San Mateo, Ca
- B••• O••• F••••••••• L•• unclassifiedJun 19, 2018 to Nov 25, 2019 · Rocklin, Ca
- S•• BD affiliatedMar 11, 2016 to May 8, 2018 · Roseville, Ca
- P•••••••• S••••••••• I••• BD affiliatedAug 4, 2015 to Mar 9, 2016 · Roseville, Ca
- Q•••••• A•••• M••••••••• I••• formerMar 7, 2014 to Jun 2, 2015 · Minneapolis, Mn
- W•••• F•••• A••••••• wirehouseOct 15, 2012 to Mar 11, 2014 · El Dorado Hills, Ca
- B••• O••• F••••••••• L•• to P••• F•••••••• A•••••••• L••left Dec 26, 2024, registered Dec 17, 2024 (-9 days) · Other
- F••••• I••••••••• to B••• O••• F••••••••• L••left Apr 28, 2020, registered May 1, 2020 (3 days) · Other
- B••• O••• F••••••••• L•• to F••••• I•••••••••left Nov 25, 2019, registered Nov 26, 2019 (1 days) · Other
- S•• to B••• O••• F••••••••• L••left May 8, 2018, registered Jun 19, 2018 (42 days) · Other
- P•••••••• S••••••••• I••• to S••left Mar 9, 2016, registered Mar 11, 2016 (2 days) · Other
- Q•••••• A•••• M••••••••• I••• to P•••••••• S••••••••• I•••left Jun 2, 2015, registered Aug 4, 2015 (63 days) · Other
- W•••• F•••• A••••••• to Q•••••• A•••• M••••••••• I•••left Mar 11, 2014, registered Mar 7, 2014 (-4 days) · Other
- R••• B•••••• left B••• O••• F••••••••• L•• for P••• F•••••••• A•••••••• L•• (registered 2024-12-17)Dec 26, 2024 · 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
- Independent wealth managerderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address