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.
M•••••• G••••• R•••••••••
- W•••• F•••• A••••••• wirehouse currentsince May 6, 2020 · San Jose, Ca
- M•• I•••••••• S•••••••• L•• BD affiliatedMay 14, 2019 to Apr 29, 2020 · San Jose, Ca
- E••••• J•••• national BDAug 10, 2018 to Apr 10, 2019 · Sunnyvale, Ca
- E•••••• F•••••••• E•••••• independent RIAJun 15, 2017 to Jan 19, 2018 · Santa Clara, Ca
- C••••••• S••••••••• formerJul 20, 2015 to Jun 13, 2017 · Palo Alot, Ca
- Q•••• C•••••• S••••••••• I••• formerApr 17, 2015 to Jul 27, 2015 · Los Gatos, Ca
- S•••••••• A••••••• L•• national BDFeb 12, 2013 to Apr 30, 2013 · Los Gatos, Ca
- T• A••••••••• I••• formerJan 31, 2007 to Apr 20, 2012 · Campbell, Ca
- T• A••••••••• I••••••••• M••••••••• L•• formerJan 31, 2007 to Apr 20, 2012 · Campbell, Ca
- Q•••• C•••••• S••••••••• I••• formerOct 28, 2005 to Apr 21, 2006 · Dallas, Tx
- Q•••• • R•••••• I••• unclassifiedSep 9, 2002 to Sep 10, 2004 · Bethlehem, Pa
- M•• I•••••••• S•••••••• L•• to W•••• F•••• A•••••••left Apr 29, 2020, registered May 6, 2020 (7 days) · Affiliated broker-dealer or bank to wirehouse
- E••••• J•••• to M•• I•••••••• S•••••••• L••left Apr 10, 2019, registered May 14, 2019 (34 days) · Affiliated broker-dealer or bank to another
- E•••••• F•••••••• E•••••• to E••••• J••••left Jan 19, 2018, registered Aug 10, 2018 (203 days) · Other
- C••••••• S••••••••• to E•••••• F•••••••• E••••••left Jun 13, 2017, registered Jun 15, 2017 (2 days) · Other
- Q•••• C•••••• S••••••••• I••• to C••••••• S•••••••••left Jul 27, 2015, registered Jul 20, 2015 (-7 days) · Other
- S•••••••• A••••••• L•• to Q•••• C•••••• S••••••••• I•••left Apr 30, 2013, registered Apr 17, 2015 (717 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Apr 20, 2012, registered Jan 31, 2007 (-1906 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to S•••••••• A••••••• L••left Apr 20, 2012, registered Feb 12, 2013 (298 days) · Other
- Q•••• C•••••• S••••••••• I••• to T• A••••••••• I•••left Apr 21, 2006, registered Jan 31, 2007 (285 days) · Other
- Q•••• • R•••••• I••• to Q•••• C•••••• S••••••••• I•••left Sep 10, 2004, registered Oct 28, 2005 (413 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
- Wirehousederived
- Years in industry
- 44derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address