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•••• B••••••
- K••• C•••••• P••••••• independent RIA currentsince Sep 15, 2022 · Sacramento, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedAug 31, 2017 to Mar 22, 2021 · Sacramento, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 1, 2015 to Sep 1, 2017 · Roseville, Ca
- M•• I•••••••• S•••••••• L•• BD affiliatedJun 30, 2014 to Apr 7, 2015 · Pleasanton, Ca
- C•••••••• G••••• M•••••• I••• to K••• C•••••• P•••••••left Mar 22, 2021, registered Sep 15, 2022 (542 days) · Affiliated broker-dealer or bank to independent RIA
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••••• G••••• M•••••• I•••left Sep 1, 2017, registered Aug 31, 2017 (-1 days) · Other
- M•• I•••••••• S•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Apr 7, 2015, registered Apr 1, 2015 (-6 days) · Other · moved with a team
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
- Independent wealth managerderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address