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••• M•••••• M•••••
- W•••••• S••••••••• I••• BD affiliated currentsince Aug 16, 2021 · Pasadena, Ca
- W•••••• I••••••••• S••••••••• formerJan 2, 2015 to Dec 31, 2021 · Santa Rosa, Ca
- G•• A••••••• formerFeb 14, 2014 to Dec 31, 2014 · Sausalito, Ca
- G•• A••••••• formerDec 23, 2013 to Dec 31, 2013 · Sausalito, Ca
- G•• A••••••• formerJan 2, 2004 to Dec 13, 2013 · Santa Rosa, Ca
- W•••••• I••••••••• S••••••••• to W•••••• S••••••••• I•••left Dec 31, 2021, registered Aug 16, 2021 (-137 days) · Affiliated broker-dealer or bank to another
- G•• A••••••• to W•••••• I••••••••• S•••••••••left Dec 31, 2014, registered Jan 2, 2015 (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
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address