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••••••• S•••••• J••••••••
- W••••• E••••••••• A••••••• S•••••••• L•• BD affiliated currentsince Nov 16, 2022 · Plymouth, Mn
- B•• C•••••• M••••••••• I•• formerNov 16, 2022 to Dec 6, 2022 · Oakland, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 27, 2007 to May 25, 2018 · San Francisco, Ca
- C••••• S••••• S••••••••• •••• L•• formerJan 17, 2003 to Aug 23, 2007 · San Francisco, Ca
- P••••••• L•• unclassifiedJul 25, 2002 to Jan 17, 2003 · San Francisco, Ca
- B•• C•••••• M••••••••• I•• to W••••• E••••••••• A••••••• S•••••••• L••left Dec 6, 2022, registered Nov 16, 2022 (-20 days) · RIA to affiliated broker-dealer or bank · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to B•• C•••••• M••••••••• I••left May 25, 2018, registered Nov 16, 2022 (1636 days) · Wirehouse to independent RIA
- C••••• S••••• S••••••••• •••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 23, 2007, registered Jul 27, 2007 (-27 days) · Other
- P••••••• L•• to C••••• S••••• S••••••••• •••• L••left Jan 17, 2003, registered Jan 17, 2003 (0 days) · corporate re-registration, not a move
- T••••••• S•••••• J•••••••• left B•• C•••••• M••••••••• I•• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2022-11-16)Dec 6, 2022 · 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
- 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