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.
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- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Jun 29, 2023 · Oroville, Ca
- S••••• F•••••••• G•••• I•• formerOct 2, 2019 to May 20, 2021 · Oroville, Ca
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedApr 18, 2011 to Jul 31, 2019 · Oroville, Ca
- E••••• J•••• national BDAug 25, 2008 to Jan 13, 2011 · St Louis, Mo
- S••••• F•••••••• G•••• I•• to C••••• I••••••••• A••••••• L••left May 20, 2021, registered Jun 29, 2023 (770 days) · corporate re-registration, not a move
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to S••••• F•••••••• G•••• I••left Jul 31, 2019, registered Oct 2, 2019 (63 days) · Affiliated broker-dealer or bank to another
- E••••• J•••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jan 13, 2011, registered Apr 18, 2011 (95 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