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•••••• P•••••• A•••••••
- D•••• I••••••••• M••••••••• L•• independent RIA currentsince Apr 18, 2024 · San Francisco, Ca
- S•••••• N••••••• • C••••••• I••••••••• national BDMay 26, 2015 to Oct 25, 2019 · San Francisco, Ca
- O••••••••• • C•• I••• BD affiliatedSep 10, 2007 to Jun 3, 2015 · San Francisco, Ca
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Sep 10, 2007 · San Francisco, Ca
- M••••• S•••••• D• I••• unclassifiedDec 17, 2002 to Apr 2, 2007 · San Francisco, Ca
- U•• F•••••••• S••••••• I••• wirehouseApr 20, 2001 to Dec 20, 2002 · San Francisco, Ca
- S•••••• N••••••• • C••••••• I••••••••• to D•••• I••••••••• M••••••••• L••left Oct 25, 2019, registered Apr 18, 2024 (1637 days) · Affiliated broker-dealer or bank to independent RIA
- O••••••••• • C•• I••• to S•••••• N••••••• • C••••••• I•••••••••left Jun 3, 2015, registered May 26, 2015 (-8 days) · Other
- M••••• S•••••• • C•• L•• to O••••••••• • C•• I•••left Sep 10, 2007, registered Sep 10, 2007 (0 days) · Other
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to M••••• S•••••• D• I•••left Dec 20, 2002, registered Dec 17, 2002 (-3 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
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address