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.
- L•• F•••••••• L•• BD affiliated currentsince Apr 26, 2024 · Redding, Ca
- S•••••• N••••••• • C••••••• I••••••••• national BDFeb 18, 2015 to May 9, 2024 · Redding, Ca
- W•••• F•••• A••••••• wirehouseNov 1, 2010 to Nov 18, 2014 · Redding, Ca
- S•••••• N••••••• • C••••••• I••••••••• to L•• F•••••••• L••left May 9, 2024, registered Apr 26, 2024 (-13 days) · Affiliated broker-dealer or bank to another · moved with a team
- W•••• F•••• A••••••• to S•••••• N••••••• • C••••••• I•••••••••left Nov 18, 2014, registered Feb 18, 2015 (92 days) · Wirehouse to affiliated broker-dealer or bank
- R•••• B••• left S•••••• N••••••• • C••••••• I••••••••• for L•• F•••••••• L•• (registered 2024-04-26)May 9, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address