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• T••••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Nov 8, 2022 · Fresno, Ca
- F••• F•••••••• G•••• formerOct 7, 2021 to Mar 8, 2022 · Fresno, Ca
- L•• F•••••••• L•• BD affiliatedAug 6, 2020 to Mar 30, 2022 · Fresno, Ca
- L•• F•••••••• L•• to F••• F•••••••• G••••left Mar 30, 2022, registered Oct 7, 2021 (-174 days) · RIA to RIA
- F••• F•••••••• G•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 8, 2022, registered Nov 8, 2022 (245 days) · RIA to wirehouse
- J•••• A• T•••••• left L•• F•••••••• L•• for F••• F•••••••• G•••• (registered 2021-10-07)Mar 30, 2022 · Advisor changed firm · fact
- J•••• A• T•••••• left F••• F•••••••• G•••• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2022-11-08)Mar 8, 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
- Wirehousederived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address