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•••••• D••• Q••••
- B•••••••• A•••• M••••••••• L•• independent RIA currentsince Sep 6, 2017 · Reno, Nv
- F•••••••• E••••• S•••••••• I••• formerJan 30, 2014 to Aug 29, 2017 · Lafayette, Ca
- A••••••• F•••••••• A•••••••• L•• BD affiliatedJul 19, 2012 to May 24, 2013 · San Mateo, Ca
- C••• F•••••••• S•••••••• L••• formerDec 3, 2008 to Nov 8, 2010 · Castro Valley, Ca
- W•••• F•••• I••••••••• L•• unclassifiedDec 12, 2007 to Dec 1, 2008 · Walnut Creek, Ca
- P•••••• P••••••• S••••••••• I••• unclassifiedJan 31, 2007 to Oct 1, 2007 · San Jose, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedDec 11, 2000 to Sep 12, 2002 · Berkeley, Ca
- F•••••••• E••••• S•••••••• I••• to B•••••••• A•••• M••••••••• L••left Aug 29, 2017, registered Sep 6, 2017 (8 days) · Other
- A••••••• F•••••••• A•••••••• L•• to F•••••••• E••••• S•••••••• I•••left May 24, 2013, registered Jan 30, 2014 (251 days) · Other
- C••• F•••••••• S•••••••• L••• to A••••••• F•••••••• A•••••••• L••left Nov 8, 2010, registered Jul 19, 2012 (619 days) · Other
- W•••• F•••• I••••••••• L•• to C••• F•••••••• S•••••••• L•••left Dec 1, 2008, registered Dec 3, 2008 (2 days) · Other
- P•••••• P••••••• S••••••••• I••• to W•••• F•••• I••••••••• L••left Oct 1, 2007, registered Dec 12, 2007 (72 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to P•••••• P••••••• S••••••••• I•••left Sep 12, 2002, registered Jan 31, 2007 (1602 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
- Independent wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address