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.
C•••••• F•••••• B••••••
- M••••• S•••••• wirehouse currentsince Oct 1, 2021 · Palo Alto, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 4, 2013 to Oct 4, 2021 · Palo Alto, Ca
- U••• B•••••• A•••••••• L•• BD affiliatedOct 10, 2003 to Feb 27, 2013 · South San Francisco, Ca
- I••• S••••••••• I••• unclassifiedOct 7, 2002 to Oct 6, 2003 · Hayward, Ca
- P••••••••• E••••• G••••• L•• unclassifiedJan 13, 2000 to Sep 6, 2002 · Walnut Creek, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Oct 4, 2021, registered Oct 1, 2021 (-3 days) · Wirehouse to wirehouse · moved with a team
- U••• B•••••• A•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 27, 2013, registered Feb 4, 2013 (-23 days) · Other
- I••• S••••••••• I••• to U••• B•••••• A•••••••• L••left Oct 6, 2003, registered Oct 10, 2003 (4 days) · Other
- P••••••••• E••••• G••••• L•• to I••• S••••••••• I•••left Sep 6, 2002, registered Oct 7, 2002 (31 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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address