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.
B•••••• D••••••• C•••••••••
- C••••••• P•••••• W•••••• L•• independent RIA currentsince Nov 14, 2023 · San Mateo, Ca
- M••••• A•••••••• L•• BD affiliatedJan 8, 2018 to Sep 30, 2019 · San Francisco, Ca
- C•••••••• C•••••• P••••••• L•• independent RIAMay 21, 2013 to Apr 4, 2018 · San Francisco, Ca
- E••••• J•••• national BDDec 19, 2011 to May 22, 2013 · Santa Rosa, Ca
- B•••••••• I••••••••• M••••••••• L•• asset managerOct 5, 2007 to Apr 2, 2009 · Princeton, Nj
- D••••••• B••• S••••••••• I••• no RAUMMay 10, 2006 to Sep 19, 2007 · New York, Ny
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedNov 14, 2003 to Mar 31, 2005 · San Francisco, Ca
- W•••• F•••• I••••••••• L•• unclassifiedOct 15, 2003 to Dec 2, 2003 · San Francisco, Ca
- M••••• A•••••••• L•• to C••••••• P•••••• W•••••• L••left Sep 30, 2019, registered Nov 14, 2023 (1506 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- C•••••••• C•••••• P••••••• L•• to M••••• A•••••••• L••left Apr 4, 2018, registered Jan 8, 2018 (-86 days) · RIA to affiliated broker-dealer or bank · moved with a team
- E••••• J•••• to C•••••••• C•••••• P••••••• L••left May 22, 2013, registered May 21, 2013 (-1 days) · Other
- B•••••••• I••••••••• M••••••••• L•• to E••••• J••••left Apr 2, 2009, registered Dec 19, 2011 (991 days) · Other
- D••••••• B••• S••••••••• I••• to B•••••••• I••••••••• M••••••••• L••left Sep 19, 2007, registered Oct 5, 2007 (16 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to D••••••• B••• S••••••••• I•••left Mar 31, 2005, registered May 10, 2006 (405 days) · Other
- W•••• F•••• I••••••••• L•• to B••• O• A•••••• I••••••••• S•••••••• I•••left Dec 2, 2003, registered Nov 14, 2003 (-18 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
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address