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.
K•••••• L••••• F•••••••••
- M•• I•••••••• S•••••••• L•• BD affiliated currentsince Mar 25, 2017 · Napa, Ca
- M•• F•••••••• S•••••••• I••• formerJul 28, 2014 to Mar 25, 2017 · Walnut Creek, Ca
- N•••••• C•••• A•••• M••••••••• formerMar 16, 2010 to Jul 25, 2014 · Irvine, Ca
- B• R•••• W••••• A•••••••• I••• BD affiliatedJul 10, 2007 to Mar 15, 2010 · Napa, Ca
- W•••••• S••••••••• I••• BD affiliatedJun 26, 2007 to Jul 5, 2007 · Pasadena, Ca
- B••••••••• S••••••••• C••••••••• unclassifiedJan 9, 2006 to Jun 26, 2007 · Napa, Ca
- I••••••••• A••••••• S••••••• I•• formerAug 30, 1999 to Dec 31, 2005 · Napa, Ca
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
- N•••••• C•••• A•••• M••••••••• to M•• F•••••••• S•••••••• I•••left Jul 25, 2014, registered Jul 28, 2014 (3 days) · Other
- B• R•••• W••••• A•••••••• I••• to N•••••• C•••• A•••• M•••••••••left Mar 15, 2010, registered Mar 16, 2010 (1 days) · Other
- W•••••• S••••••••• I••• to B• R•••• W••••• A•••••••• I•••left Jul 5, 2007, registered Jul 10, 2007 (5 days) · Other
- B••••••••• S••••••••• C••••••••• to W•••••• S••••••••• I•••left Jun 26, 2007, registered Jun 26, 2007 (0 days) · Other
- I••••••••• A••••••• S••••••• I•• to B••••••••• S••••••••• C•••••••••left Dec 31, 2005, registered Jan 9, 2006 (9 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