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.
M•••• L•••••••
- B••••••••• independent RIA currentsince Mar 27, 2024 · New York, Ny
- S••••••• W••••• A••••••• G••••• L•• independent RIAMar 30, 2023 to Aug 31, 2023 · Granite Bay, Ca
- A••••••• F••••••••• L••• BD affiliatedDec 7, 2018 to Dec 5, 2022 · Folsom, Ca
- S••••••• W••••• A••••••• G••••• L•• to B•••••••••left Aug 31, 2023, registered Mar 27, 2024 (209 days) · RIA to RIA
- A••••••• F••••••••• L••• to S••••••• W••••• A••••••• G••••• L••left Dec 5, 2022, registered Mar 30, 2023 (115 days) · Affiliated broker-dealer or bank to independent RIA
- M•••• L••••••• left S••••••• W••••• A••••••• G••••• L•• for Betterment (registered 2024-03-27)Aug 31, 2023 · Advisor changed firm · fact
- M•••• L••••••• left A••••••• F••••••••• L••• for S••••••• W••••• A••••••• G••••• L•• (registered 2023-03-30)Dec 5, 2022 · 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
- Independent wealth managerderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address