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••••• L••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Nov 3, 2023 · Auburn, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 10, 2014 to Nov 6, 2023 · San Jose, Ca
- U•• F•••••••• S••••••• I••• wirehouseJan 5, 2005 to Jul 18, 2014 · San Jose, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••••••• F•••••••• S•••••••• L••left Nov 6, 2023, registered Nov 3, 2023 (-3 days) · Wirehouse to affiliated broker-dealer or bank
- U•• F•••••••• S••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 18, 2014, registered Jul 10, 2014 (-8 days) · Wirehouse to wirehouse
- D••••• L•••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for A••••••••• F•••••••• S•••••••• L•• (registered 2023-11-03)Nov 6, 2023 · 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
- National broker-dealer RIAderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address