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••••• S•••••• S••••••
- S•••••• I••••••••• L•• state registered currentsince Jun 10, 2019 · San Francisco, Ca
- I•••••••• F•• W••••• A•••••••• I••• formerJan 31, 2017 to Apr 30, 2019 · San Jose, Ca
- S••••• M••••••••• independent RIASep 16, 2016 to Feb 3, 2017 · Walnut Creek, Ca
- C•••••• W••••• M••••••••• formerJan 5, 2015 to Jun 19, 2017 · Walnut Creek, Ca
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Jan 7, 2015 · San Francisco, Ca
- C•••• I••••••••• S••••••• C•••• formerFeb 8, 2012 to Oct 1, 2012 · San Francisco, Ca
- J••• M••••• S••••••••• L•• wirehouseSep 3, 2002 to Jan 31, 2012 · San Francisco, Ca
- I•••••••• F•• W••••• A•••••••• I••• to S•••••• I••••••••• L••left Apr 30, 2019, registered Jun 10, 2019 (41 days) · RIA to a state-registered adviser
- C•••••• W••••• M••••••••• to S••••• M•••••••••left Jun 19, 2017, registered Sep 16, 2016 (-276 days) · Other · moved with a team
- S••••• M••••••••• to I•••••••• F•• W••••• A•••••••• I•••left Feb 3, 2017, registered Jan 31, 2017 (-3 days) · Other · moved with a team
- J••• M••••• S••••••••• L•• to C•••••• W••••• M•••••••••left Jan 7, 2015, registered Jan 5, 2015 (-2 days) · Other
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- J••• M••••• S••••••••• L•• to C•••• I••••••••• S••••••• C••••left Jan 31, 2012, registered Feb 8, 2012 (8 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
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address