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.
S•••• M••••••• S••••••
- B•••••• H•••• P•••••• W•••••• L•• independent RIA currentsince Oct 10, 2022 · B•••••• H••••, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 1, 2006 to Oct 11, 2022 · B•••••• H••••, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedJul 8, 1997 to Sep 12, 2006 · B•••••• H••••, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to B•••••• H•••• P•••••• W•••••• L••left Oct 11, 2022, registered Oct 10, 2022 (-1 days) · Wirehouse to a newly registered adviser (no RAUM reported yet) · moved with a team
- C•••••••• G••••• M•••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 12, 2006, registered Sep 1, 2006 (-11 days) · Other
- S•••• M••••••• S•••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for B•••••• H•••• P•••••• W•••••• L•• (registered 2022-10-10)Oct 11, 2022 · 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
- Independent wealth managerderived
- Years in industry
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address