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.
- F•••••••• C••••• state registered currentsince Jun 18, 2022 · Sacramento, Ca
- A•••••• A••••••• S••••••• formerFeb 27, 2019 to May 29, 2020 · Petaluma, Ca
- 1•• G••••• A••••••• I•• formerAug 11, 2017 to Mar 1, 2019 · Petaluma, Ca
- A•••••• A••••••• S••••••• formerMay 29, 2015 to Aug 18, 2017 · Petaluma, Ca
- A•••••• A••••••• S••••••• to F•••••••• C•••••left May 29, 2020, registered Jun 18, 2022 (750 days) · Affiliated broker-dealer or bank to a state-registered adviser
- 1•• G••••• A••••••• I•• to A•••••• A••••••• S•••••••left Mar 1, 2019, registered Feb 27, 2019 (-2 days) · channel change inside one enterprise, not a move
- A•••••• A••••••• S••••••• to 1•• G••••• A••••••• I••left Aug 18, 2017, registered Aug 11, 2017 (-7 days) · Other
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
- STATE REGISTEREDderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address