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•••• A••• A••••••
- C••••••••• S••••••••• L•• BD affiliated currentsince Oct 25, 2016 · Overland Park, Ks
- I•••••••• A•••••••• L•• BD affiliatedMar 5, 2015 to Oct 26, 2016 · Walnut Creek, Ca
- C••••••••• S••••••••• L•• BD affiliatedMar 4, 2014 to Mar 5, 2015 · Walnut Creek, Ca
- W••••••• F•••••••• S•••••••• I••• formerDec 15, 2008 to Jan 12, 2009 · Walnut Creek, Ca
- A•••••• F•••••••• A•• I•••••••• S•••••••• L•• unclassifiedJan 24, 2007 to Mar 5, 2014 · Walnut Creek, Ca
- F•• S••••••••• C••••••••• formerApr 4, 2003 to Jan 3, 2007 · Walnut Creek, Ca
- S••••••••• A•••••• A•••••••• I••• formerJan 29, 2003 to Mar 31, 2003 · Concord, Ca
- S••••••••• A•••••• A•••••••• I••• formerJun 8, 2001 to Dec 31, 2002 · Concord, Ca
- I•••••••• A•••••••• L•• to C••••••••• S••••••••• L••left Oct 26, 2016, registered Oct 25, 2016 (-1 days) · Other
- C••••••••• S••••••••• L•• to I•••••••• A•••••••• L••left Mar 5, 2015, registered Mar 5, 2015 (0 days) · Other
- A•••••• F•••••••• A•• I•••••••• S•••••••• L•• to W••••••• F•••••••• S•••••••• I•••left Mar 5, 2014, registered Dec 15, 2008 (-1906 days) · Other
- W••••••• F•••••••• S•••••••• I••• to C••••••••• S••••••••• L••left Jan 12, 2009, registered Mar 4, 2014 (1877 days) · Other
- F•• S••••••••• C••••••••• to A•••••• F•••••••• A•• I•••••••• S•••••••• L••left Jan 3, 2007, registered Jan 24, 2007 (21 days) · Other
- S••••••••• A•••••• A•••••••• I••• to F•• S••••••••• C•••••••••left Mar 31, 2003, registered Apr 4, 2003 (4 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
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address