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.
M•••••• F••••••••• C••••••
- W•••• F•••• A••••••• wirehouse currentsince Aug 18, 2014 · Corte Madera, Ca
- P•••••• W••••• A••••••• G•••• formerOct 12, 2012 to Aug 18, 2014 · San Rafael, Ca
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Sep 27, 2012 · Corte Madera, Ca
- W•••• F•••• I••••••••• L•• unclassifiedAug 29, 2008 to Jan 3, 2011 · Corte Madera, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 14, 2004 to Sep 3, 2008 · Mill Valley, Ca
- P•••••• W••••• A••••••• G•••• to W•••• F•••• A•••••••left Aug 18, 2014, registered Aug 18, 2014 (0 days) · Other
- W•••• F•••• A••••••• to P•••••• W••••• A••••••• G••••left Sep 27, 2012, registered Oct 12, 2012 (15 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• I••••••••• L••left Sep 3, 2008, registered Aug 29, 2008 (-5 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
- Wirehousederived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address