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••••••• H••••••••• F•••••
- N• A••••••• state registered currentsince Aug 24, 2017 · Milpitas, Ca
- S••••••••• W••••• M••••••••• L•• formerMay 2, 2017 to Jul 6, 2017 · Fair Oaks, Ca
- I••••••••• F•••••••• G••••• L•• BD affiliatedJul 3, 2013 to Apr 11, 2017 · San Diego, Ca
- F•••• A••••• A••••••• S•••••••• I••• formerJul 2, 2012 to Jul 30, 2013 · Chesterfield, Mo
- F•••• A••••• S••••••••• I••• formerFeb 22, 2006 to Jul 2, 2012 · San Diego, Ca
- S•••••••• F••••••••• I••• formerOct 31, 2005 to Feb 17, 2006 · Fair Oaks, Ca
- S••••••••• S••••••••• I••• unclassifiedJun 16, 2000 to Oct 31, 2005 · Fair Oaks, Ca
- S••••••••• W••••• M••••••••• L•• to N• A•••••••left Jul 6, 2017, registered Aug 24, 2017 (49 days) · Other
- I••••••••• F•••••••• G••••• L•• to S••••••••• W••••• M••••••••• L••left Apr 11, 2017, registered May 2, 2017 (21 days) · Other
- F•••• A••••• A••••••• S•••••••• I••• to I••••••••• F•••••••• G••••• L••left Jul 30, 2013, registered Jul 3, 2013 (-27 days) · Other
- F•••• A••••• S••••••••• I••• to F•••• A••••• A••••••• S•••••••• I•••left Jul 2, 2012, registered Jul 2, 2012 (0 days) · corporate re-registration, not a move
- S•••••••• F••••••••• I••• to F•••• A••••• S••••••••• I•••left Feb 17, 2006, registered Feb 22, 2006 (5 days) · Other
- S••••••••• S••••••••• I••• to S•••••••• F••••••••• I•••left Oct 31, 2005, registered Oct 31, 2005 (0 days) · corporate re-registration, not a move
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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address