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.
R•••••• H••••• V•• H••••
- L••••••• S••••••••• C•••• BD affiliated currentsince Dec 6, 2018 · Pittsburg, Ca
- F•••••••• E••••• S•••••••• I••• formerFeb 2, 2017 to Nov 7, 2018 · San Francisco, Ca
- S••••••• I••••••••• I••• formerAug 19, 2014 to Jan 4, 2016 · Lafayette, Ca
- W•• S••••••••• L•• state registeredNov 8, 2010 to Sep 4, 2013 · San Rafael, Ca
- V••••• C•••••• W••••• independent RIANov 5, 2010 to Mar 4, 2014 · Los Angeles, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 3, 2009 to Nov 9, 2010 · Beverly Hills, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 25, 2004 to Feb 20, 2007 · Plainsboro, Nj
- H••••••••• G••••• E••••• • R••••••••• S••••••••• unclassifiedSep 9, 2003 to Oct 27, 2004 · Danville, Ca
- F•••••••• E••••• S•••••••• I••• to L••••••• S••••••••• C••••left Nov 7, 2018, registered Dec 6, 2018 (29 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- S••••••• I••••••••• I••• to F•••••••• E••••• S•••••••• I•••left Jan 4, 2016, registered Feb 2, 2017 (395 days) · Other
- V••••• C•••••• W••••• to W•• S••••••••• L••left Mar 4, 2014, registered Nov 8, 2010 (-1212 days) · Other
- W•• S••••••••• L•• to S••••••• I••••••••• I•••left Sep 4, 2013, registered Aug 19, 2014 (349 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to V••••• C•••••• W•••••left Nov 9, 2010, registered Nov 5, 2010 (-4 days) · Other
- H••••••••• G••••• E••••• • R••••••••• S••••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 27, 2004, registered Mar 25, 2004 (-216 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address