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••••• W•••••••••
- B•• P•••••••• I••• BD affiliated currentsince Jan 3, 2017 · Sacramento, Ca
- B•••••• F••••• • C•••••• F•••••••• S•••••••• I••• BD affiliated currentsince Mar 31, 2008 · Sacramento, Ca
- S•• A•••••••• I••• formerMar 15, 2006 to Feb 28, 2008 · Sacramento, Ca
- L•• F•••••••• L•• BD affiliatedJul 6, 2004 to Mar 20, 2006 · Sacramento, Ca
- W•••••• • R••• formerSep 9, 1997 to Jul 8, 2004 · Sacramento, Ca
- S•• A•••••••• I••• to B•••••• F••••• • C•••••• F•••••••• S•••••••• I•••left Feb 28, 2008, registered Mar 31, 2008 (32 days) · Other
- L•• F•••••••• L•• to S•• A•••••••• I•••left Mar 20, 2006, registered Mar 15, 2006 (-5 days) · Other
- W•••••• • R••• to L•• F•••••••• L••left Jul 8, 2004, registered Jul 6, 2004 (-2 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address