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.
B•••••• U•••••
- C••••••••• F•••••••• N•••••• national BD currentsince Mar 16, 2023 · Blacksburg, Va
- P•••••••• S••••••••• I••• BD affiliatedSep 11, 2018 to Mar 17, 2023 · Fresno, Ca
- M••••• O• O•••• I••••••• S•••••••• I••• independent RIASep 5, 2012 to Sep 7, 2018 · Fresno, Ca
- P•••••••• S••••••••• I••• to C••••••••• F•••••••• N••••••left Mar 17, 2023, registered Mar 16, 2023 (-1 days) · Affiliated broker-dealer or bank to another
- M••••• O• O•••• I••••••• S•••••••• I••• to P•••••••• S••••••••• I•••left Sep 7, 2018, registered Sep 11, 2018 (4 days) · Other
- B•••••• U••••• left P•••••••• S••••••••• I••• for C••••••••• F•••••••• N•••••• (registered 2023-03-16)Mar 17, 2023 · 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
- National broker-dealer RIAderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address