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.
D••••• J••• C•••••
- D••• D••••••• • C•• independent RIA currentsince Jun 21, 2021 · Roseville, Ca
- R••••• W• B•••• • C•• I••••••••• mixed wealthNov 1, 2011 to Jun 29, 2021 · Sacramento, Ca
- W•••• F•••• A••••••• wirehouseJan 1, 2008 to Nov 1, 2011 · Sacramento, Ca
- A• G• E•••••• • S•••• I••• unclassifiedJul 8, 1997 to Jan 1, 2008 · Sacramento, Ca
- R••••• W• B•••• • C•• I••••••••• to D••• D••••••• • C••left Jun 29, 2021, registered Jun 21, 2021 (-8 days) · RIA to RIA
- W•••• F•••• A••••••• to R••••• W• B•••• • C•• I•••••••••left Nov 1, 2011, registered Nov 1, 2011 (0 days) · Other
- A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••left Jan 1, 2008, registered Jan 1, 2008 (0 days) · corporate re-registration, not a move
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
- 45derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address