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.
M•••••• D•••• D••••
- A••••••• F••••••••• L••• BD affiliated currentsince Oct 1, 2019 · Campbell, Ca
- L•• F•••••••• I••• formerJan 10, 2011 to Jan 3, 2017 · San Jose, Ca
- S•••• W••••• M••••••••• I••• formerMay 21, 2008 to Nov 6, 2019 · San Jose, Ca
- L•• F•••••••• I••• formerJan 3, 2000 to Dec 31, 2010 · San Jose, Ca
- S•••• W••••• M••••••••• I••• to L•• F•••••••• I•••left Nov 6, 2019, registered Jan 10, 2011 (-3222 days) · Other
- L•• F•••••••• I••• to A••••••• F••••••••• L•••left Jan 3, 2017, registered Oct 1, 2019 (1001 days) · Other
- L•• F•••••••• I••• to S•••• W••••• M••••••••• I•••left Dec 31, 2010, registered May 21, 2008 (-954 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address