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.
- L•• F•••••••• L•• BD affiliated currentsince Jun 12, 2019 · Fresno, Ca
- I••••••••• W••••• C••••••• L•• i••••••••• wealthApr 26, 2019 to May 22, 2019 · Visalia, Ca
- I••••••••• F•••••••• P••••••• BD affiliatedJan 3, 2018 to Apr 25, 2019 · Fresno, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 30, 2016 to Aug 9, 2017 · Fresno, Ca
- I••••••••• W••••• C••••••• L•• to L•• F•••••••• L••left May 22, 2019, registered Jun 12, 2019 (21 days) · RIA to RIA
- I••••••••• F•••••••• P••••••• to I••••••••• W••••• C••••••• L••left Apr 25, 2019, registered Apr 26, 2019 (1 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to I••••••••• F•••••••• P•••••••left Aug 9, 2017, registered Jan 3, 2018 (147 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address