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••••• A••••• S••••••
- S•••• F••• I••••••••• M••••••••• C•••• asset manager currentsince Feb 28, 2024 · Livermore, Ca
- S••••••• P•••••• F••••••••• L•• formerOct 22, 2019 to Feb 25, 2020 · Modesto, Ca
- V••• F•••••••• A•••••••• I••• BD affiliatedJan 5, 2017 to Jul 30, 2019 · Lathrop, Ca
- V•••• F•••••••• A•••••••• I••• BD affiliatedJul 2, 2014 to Nov 23, 2016 · Modesto, Ca
- A••••••• F•••••••• A•••••••• L•• BD affiliatedJun 11, 2013 to Apr 14, 2014 · San Jose, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 11, 2011 to Feb 27, 2012 · San Jose, Ca
- U•• F•••••••• S••••••• I••• wirehouseFeb 10, 2011 to Apr 27, 2011 · San Jose, Ca
- S••••••• P•••••• F••••••••• L•• to S•••• F••• I••••••••• M••••••••• C••••left Feb 25, 2020, registered Feb 28, 2024 (1464 days) · Other
- V••• F•••••••• A•••••••• I••• to S••••••• P•••••• F••••••••• L••left Jul 30, 2019, registered Oct 22, 2019 (84 days) · Affiliated broker-dealer or bank to another
- V•••• F•••••••• A•••••••• I••• to V••• F•••••••• A•••••••• I•••left Nov 23, 2016, registered Jan 5, 2017 (43 days) · Other
- A••••••• F•••••••• A•••••••• L•• to V•••• F•••••••• A•••••••• I•••left Apr 14, 2014, registered Jul 2, 2014 (79 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••••• F•••••••• A•••••••• L••left Feb 27, 2012, registered Jun 11, 2013 (470 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- U•• F•••••••• S••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Apr 27, 2011, registered Oct 11, 2011 (167 days) · Wirehouse to wirehouse
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
- Asset manager (funds and pooled vehicles)derived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address