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.
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- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince May 28, 2014 · San Francisco, Ca
- S••••• A••• A•••• M••••••••• I••• formerFeb 11, 2011 to May 30, 2014 · San Francisco, Ca
- N••••••••• C•••••• P••••••• I••• unclassifiedJul 16, 2008 to Feb 12, 2011 · San Francisco , Ca
- W•••• F•••• I••••••••• L•• unclassifiedJul 31, 2001 to Aug 8, 2002 · Walnut Creek, Ca
- S••••• A••• A•••• M••••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••left May 30, 2014, registered May 28, 2014 (-2 days) · Other
- N••••••••• C•••••• P••••••• I••• to S••••• A••• A•••• M••••••••• I•••left Feb 12, 2011, registered Feb 11, 2011 (-1 days) · Other
- W•••• F•••• I••••••••• L•• to N••••••••• C•••••• P••••••• I•••left Aug 8, 2002, registered Jul 16, 2008 (2169 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
- National broker-dealer RIAderived
- Years in industry
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address