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.
B••••••• W•••••• W•••
- M•••••• BD affiliated currentsince Jan 3, 2022 · Pleasanton, Ca
- C••••••••• F•••••••• N•••••• national BDAug 12, 2014 to Dec 31, 2021 · San Diego, Ca
- F•••••••• T••••••• I••• formerAug 15, 2008 to Aug 15, 2014 · Walnut Creek, Ca
- F••••••• S••••••••• I••• formerDec 19, 1997 to Aug 15, 2008 · Pleasanton, Ca
- C••••••••• F•••••••• N•••••• to M••••••left Dec 31, 2021, registered Jan 3, 2022 (3 days) · Affiliated broker-dealer or bank to another · moved with a team
- F•••••••• T••••••• I••• to C••••••••• F•••••••• N••••••left Aug 15, 2014, registered Aug 12, 2014 (-3 days) · Other
- F••••••• S••••••••• I••• to F•••••••• T••••••• I•••left Aug 15, 2008, registered Aug 15, 2008 (0 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
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address