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.
B•••• T•••••• T•••
- D••• D••••••• • C•• independent RIA currentsince Nov 25, 2013 · Fresno, Ca
- C•••••• W••••• • C•• formerNov 4, 2013 to Nov 25, 2013 · Fresno, Ca
- T•• O••• I••••••••• M••••••••• L•• formerJun 8, 2011 to May 13, 2021 · Clovis, Ca
- C••••••• W••••• • C•• formerDec 6, 2006 to Nov 4, 2013 · Los Angeles, Ca
- S•••• I••••••••• A••••••• I••••••••• state registeredFeb 28, 2005 to Dec 20, 2006 · Redlands, Ca
- R•• C•••••• M••••••• L•• national BDMay 28, 2002 to Feb 18, 2005 · Fresno, Ca
- T•• O••• I••••••••• M••••••••• L•• to C•••••• W••••• • C••left May 13, 2021, registered Nov 4, 2013 (-2747 days) · Other · moved with a team
- C•••••• W••••• • C•• to D••• D••••••• • C••left Nov 25, 2013, registered Nov 25, 2013 (0 days) · corporate re-registration, not a move
- C••••••• W••••• • C•• to T•• O••• I••••••••• M••••••••• L••left Nov 4, 2013, registered Jun 8, 2011 (-880 days) · Other
- S•••• I••••••••• A••••••• I••••••••• to C••••••• W••••• • C••left Dec 20, 2006, registered Dec 6, 2006 (-14 days) · Other
- R•• C•••••• M••••••• L•• to S•••• I••••••••• A••••••• I•••••••••left Feb 18, 2005, registered Feb 28, 2005 (10 days) · Affiliated broker-dealer or bank to a state-registered adviser
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
- 46derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address