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••••• F•••••• K••••••
- W•••• F•••• A••••••• wirehouse currentsince Apr 9, 2015 · Walnut Creek, Ca
- B••••••• I••••••••• S•••••••• I••• ••••• formerJun 3, 2014 to Apr 14, 2015 · Livermore, Ca
- P•• M•••••• A•••••• S••••••••• I••• formerOct 21, 2013 to May 13, 2014 · Sonora, Ca
- S•••••• P••••••• I••••••••• S••••••••• L•• formerApr 18, 2013 to Sep 24, 2013 · Sonora, Ca
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Apr 1, 2013 · Capitola, Ca
- W•••• F•••• I••••••••• L•• unclassifiedJun 2, 2003 to Jan 3, 2011 · Santa Cruz, Ca
- Q•••• • R•••••• I••• unclassifiedNov 21, 2002 to Jun 10, 2003 · Sunnvale, Ca
- B••••••• I••••••••• S•••••••• I••• ••••• to W•••• F•••• A•••••••left Apr 14, 2015, registered Apr 9, 2015 (-5 days) · Other
- P•• M•••••• A•••••• S••••••••• I••• to B••••••• I••••••••• S•••••••• I••• •••••left May 13, 2014, registered Jun 3, 2014 (21 days) · Other
- S•••••• P••••••• I••••••••• S••••••••• L•• to P•• M•••••• A•••••• S••••••••• I•••left Sep 24, 2013, registered Oct 21, 2013 (27 days) · Other
- W•••• F•••• A••••••• to S•••••• P••••••• I••••••••• S••••••••• L••left Apr 1, 2013, registered Apr 18, 2013 (17 days) · Other
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- Q•••• • R•••••• I••• to W•••• F•••• I••••••••• L••left Jun 10, 2003, registered Jun 2, 2003 (-8 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address