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.
T••••• A•••••• B•••••••••
- E•••••••• A•••••••• L•• national BD currentsince Jun 16, 2023 · Corte Madera, Ca
- P•••• S••••••••• L•• no RAUMMar 8, 2019 to Jun 28, 2023 · Walnut Creek, Ca
- P•••••••• S••••••••• I••• BD affiliatedMay 11, 2015 to Mar 26, 2019 · San Francisco, Ca
- A••••••• A••••••• S••••••• formerOct 10, 2014 to May 6, 2015 · Redmond, Wa
- R••• T••• • A••••••••• unclassifiedMar 18, 2009 to Mar 19, 2009 · San Carlos, Ca
- P•••• S••••••••• L•• to E•••••••• A•••••••• L••left Jun 28, 2023, registered Jun 16, 2023 (-12 days) · Affiliated broker-dealer or bank to another
- P•••••••• S••••••••• I••• to P•••• S••••••••• L••left Mar 26, 2019, registered Mar 8, 2019 (-18 days) · Affiliated broker-dealer or bank to another
- A••••••• A••••••• S••••••• to P•••••••• S••••••••• I•••left May 6, 2015, registered May 11, 2015 (5 days) · Other
- R••• T••• • A••••••••• to A••••••• A••••••• S•••••••left Mar 19, 2009, registered Oct 10, 2014 (2031 days) · Other
- T••••• A•••••• B••••••••• left P•••• S••••••••• L•• for E•••••••• A•••••••• L•• (registered 2023-06-16)Jun 28, 2023 · 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
- National broker-dealer RIAderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address