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.
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J••••••• R••••• S•••••
- P•••• C•••••• F•••••••• mixed wealth currentsince Feb 16, 2024 · Roseville, Ca
- E•••••• F•••••••• E•••••• independent RIAAug 2, 2018 to Mar 15, 2024 · Roseville, Ca
- T• A••••••••• I••••••••• M••••••••• L•• formerApr 11, 2018 to Jul 31, 2018 · Roseville, Ca
- T• A••••••••• I••• formerApr 11, 2018 to Jul 31, 2018 · Roseville, Ca
- T• A••••••••• I••••••••• M••••••••• L•• formerMay 31, 2016 to Aug 7, 2017 · Roseville, Ca
- T• A••••••••• I••• formerMay 31, 2016 to Aug 7, 2017 · Roseville, Ca
- E•••••• F•••••••• E•••••• to P•••• C•••••• F••••••••left Mar 15, 2024, registered Feb 16, 2024 (-28 days) · RIA to RIA
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Jul 31, 2018, registered Apr 11, 2018 (-111 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Jul 31, 2018, registered Apr 11, 2018 (-111 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Aug 7, 2017, registered Apr 11, 2018 (247 days) · channel change inside one enterprise, not a move · moved with a team
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Aug 7, 2017, registered May 31, 2016 (-433 days) · channel change inside one enterprise, not a move · moved with a team
- J••••••• R••••• S••••• left E•••••• F•••••••• E•••••• for P•••• C•••••• F•••••••• (registered 2024-02-16)Mar 15, 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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address