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••••• M•••••• R••••••
- L•• F•••••••• L•• BD affiliated currentsince Apr 18, 2023 · San Diego, Ca
- L•• F•••••••• L•• BD affiliatedDec 1, 2016 to Mar 28, 2023 · Rancho Cordova, Ca
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedDec 3, 2013 to Dec 1, 2016 · Sacramento, Ca
- N••••• F•••••••• A•••••••• L•• unclassifiedMar 18, 2011 to Dec 12, 2013 · Davis, Ca
- L•• F•••••••• L•• BD affiliatedDec 13, 2010 to Apr 9, 2012 · Davis, Ca
- A••••••• A••••••• S••••••• formerJul 21, 2008 to Dec 20, 2010 · Gold River, Ca
- S•••••••• F••••••••• I••• formerJun 4, 2008 to Jul 1, 2008 · Rocklin, Ca
- C•••••••• I••••••••• R••••••• A•••••••• I••• to L•• F•••••••• L••left Dec 1, 2016, registered Dec 1, 2016 (0 days) · Other
- N••••• F•••••••• A•••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Dec 12, 2013, registered Dec 3, 2013 (-9 days) · Other
- L•• F•••••••• L•• to N••••• F•••••••• A•••••••• L••left Apr 9, 2012, registered Mar 18, 2011 (-388 days) · Other
- A••••••• A••••••• S••••••• to L•• F•••••••• L••left Dec 20, 2010, registered Dec 13, 2010 (-7 days) · Other
- S•••••••• F••••••••• I••• to A••••••• A••••••• S•••••••left Jul 1, 2008, registered Jul 21, 2008 (20 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address