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.
G••••• A••••• P•••••
- J••• W••••• M••••••••• L•• state registered currentsince Sep 30, 2015 · Austin, Tx
- L•• F•••••••• L•• BD affiliatedFeb 27, 2007 to Feb 22, 2016 · Los Gatos, Ca
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedDec 20, 2005 to Feb 28, 2007 · Los Gatos, Ca
- F••••••• S••••••••• I••• formerDec 19, 1997 to Dec 19, 2005 · Los Gatos, Ca
- L•• F•••••••• L•• to J••• W••••• M••••••••• L••left Feb 22, 2016, registered Sep 30, 2015 (-145 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to L•• F•••••••• L••left Feb 28, 2007, registered Feb 27, 2007 (-1 days) · Other
- F••••••• S••••••••• I••• to R•••••• J•••• F•••••••• S•••••••• I•••left Dec 19, 2005, registered Dec 20, 2005 (1 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
- STATE REGISTEREDderived
- Years in industry
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address