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.
T•• C•••••• R••••••
- O•••• W•••••• I••• BD affiliated currentsince Jan 24, 2025 · Redding, Ca
- O•••• F•• I••• formerNov 2, 2020 to Jan 24, 2025 · Redding, Ca
- J••• M••••• S••••••••• L•• wirehouseJun 4, 2018 to Nov 10, 2020 · Redding, Ca
- M••••• S•••••• wirehouseOct 22, 2015 to May 30, 2018 · Redding, Ca
- O•••• F•• I••• to O•••• W•••••• I•••left Jan 24, 2025, registered Jan 24, 2025 (0 days) · corporate re-registration, not a move
- J••• M••••• S••••••••• L•• to O•••• F•• I•••left Nov 10, 2020, registered Nov 2, 2020 (-8 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• to J••• M••••• S••••••••• L••left May 30, 2018, registered Jun 4, 2018 (5 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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address