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.
J•••• A••• W••••••
- 7• F•••••••• G•••• state registered currentsince Jan 7, 2021 · Carlsbad, Ca
- V•••• C•••••• P•••••••• L•• independent RIAFeb 16, 2018 to Jan 26, 2021 · Prescott, Az
- O•••• F•• I••• formerJun 20, 2017 to Dec 21, 2017 · Sacramento, Ca
- V•••• C•••••• P•••••••• L•• to 7• F•••••••• G••••left Jan 26, 2021, registered Jan 7, 2021 (-19 days) · RIA to a state-registered adviser
- O•••• F•• I••• to V•••• C•••••• P•••••••• L••left Dec 21, 2017, registered Feb 16, 2018 (57 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
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address