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.
G••••••• M•••• H••••••••
- M••••• S•••••• wirehouse currentsince Sep 25, 2020 · West Des Moines, Ia
- E•••••• C•••••• M••••••••• L•• formerJun 13, 2016 to Nov 7, 2019 · Cupertino, Ca
- I••••••••• W••••• C••••••• L•• formerJan 10, 2014 to Jan 15, 2015 · Reno, Nv
- S•••••••• A••••••• L•• national BDMay 22, 2008 to Apr 15, 2013 · San Jose, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 29, 2007 to Dec 10, 2007 · San Mateo, Ca
- C••••••• I••••••••• S••••••• unclassifiedJan 30, 2007 to May 29, 2007 · Los Altos, Ca
- C•••••• S••••• • C••• I••• national BDJul 8, 1997 to Dec 19, 2003 · Campbell, Ca
- E•••••• C•••••• M••••••••• L•• to M••••• S••••••left Nov 7, 2019, registered Sep 25, 2020 (323 days) · channel change inside one enterprise, not a move
- I••••••••• W••••• C••••••• L•• to E•••••• C•••••• M••••••••• L••left Jan 15, 2015, registered Jun 13, 2016 (515 days) · Other
- S•••••••• A••••••• L•• to I••••••••• W••••• C••••••• L••left Apr 15, 2013, registered Jan 10, 2014 (270 days) · Other
- C•••••••• G••••• M•••••• I••• to S•••••••• A••••••• L••left Dec 10, 2007, registered May 22, 2008 (164 days) · Other
- C••••••• I••••••••• S••••••• to C•••••••• G••••• M•••••• I•••left May 29, 2007, registered May 29, 2007 (0 days) · corporate re-registration, not a move
- C•••••• S••••• • C••• I••• to C••••••• I••••••••• S•••••••left Dec 19, 2003, registered Jan 30, 2007 (1138 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address