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.
J•••• H••••• B•••••
- W•••• F•••• A••••••• wirehouse currentsince Jul 19, 2019 · Walnut Creek, Ca
- M••••• S•••••• wirehouseJun 1, 2009 to Jul 23, 2019 · Walnut Creek, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedFeb 27, 2009 to Jun 1, 2009 · Walnut Creek, Ca
- U•• F•••••••• S••••••• I••• wirehouseDec 6, 2002 to Mar 25, 2009 · Walnut Creek, Ca
- P••••••••• E••••• G••••• L•• unclassifiedJul 8, 1997 to Dec 11, 2002 · Walnut Creek, Ca
- M••••• S•••••• to W•••• F•••• A•••••••left Jul 23, 2019, registered Jul 19, 2019 (-4 days) · Wirehouse to wirehouse
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to C•••••••• G••••• M•••••• I•••left Mar 25, 2009, registered Feb 27, 2009 (-26 days) · Other
- P••••••••• E••••• G••••• L•• to U•• F•••••••• S••••••• I•••left Dec 11, 2002, registered Dec 6, 2002 (-5 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
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address