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•••••• D••• N•••••
- O•••••••• F•••••••• S•••••••• L•• i••••••••• wealth currentsince Oct 26, 2018 · San Rafael, Ca
- I••••••••• F•••••••• G••••• L•• BD affiliated currentsince Oct 8, 2018 · San Rafael, Ca
- U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• i••••••••• wealthJun 14, 2017 to Oct 8, 2018 · South San Francisco, Ca
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerDec 7, 2012 to Jun 15, 2017 · Walnut Creek, Ca
- L•• F•••••••• L•• BD affiliatedJul 27, 2007 to Dec 17, 2012 · San Mateo, Ca
- U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• to I••••••••• F•••••••• G••••• L••left Oct 8, 2018, registered Oct 8, 2018 (0 days) · RIA to affiliated broker-dealer or bank · moved with a team
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••left Jun 15, 2017, registered Jun 14, 2017 (-1 days) · Other · moved with a team
- L•• F•••••••• L•• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left Dec 17, 2012, registered Dec 7, 2012 (-10 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
- Independent wealth managerderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address