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•••• A•••••• E•••••
- A••••••• A••••••• S•••••••• L•• BD affiliated currentsince Feb 15, 2023 · Folsom, Ca
- D•••••• • C••••••• L•• state registeredOct 18, 2017 to Nov 17, 2021 · San Francisco, Ca
- H••••• • A••••••••• F•••••••• G•••• I••• independent RIASep 30, 2015 to Nov 28, 2017 · Roseville, Ca
- U•• F•••••••• S••••••• I••• wirehouseApr 30, 2013 to Nov 25, 2014 · Sacramento, Ca
- M••••• S•••••• wirehouseApr 14, 2011 to Sep 6, 2011 · Sacramento, Ca
- D•••••• • C••••••• L•• to A••••••• A••••••• S•••••••• L••left Nov 17, 2021, registered Feb 15, 2023 (455 days) · Other
- H••••• • A••••••••• F•••••••• G•••• I••• to D•••••• • C••••••• L••left Nov 28, 2017, registered Oct 18, 2017 (-41 days) · RIA to a state-registered adviser
- U•• F•••••••• S••••••• I••• to H••••• • A••••••••• F•••••••• G•••• I•••left Nov 25, 2014, registered Sep 30, 2015 (309 days) · Wirehouse to independent RIA
- M••••• S•••••• to U•• F•••••••• S••••••• I•••left Sep 6, 2011, registered Apr 30, 2013 (602 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
- 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