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.
A••• C• D••••
- P•••••• P••••••• P•••••••• I••• state registered currentsince Jun 25, 2021 · Pleasanton, Ca
- F•••••••• E••••• S•••••••• I••• formerAug 30, 2010 to Mar 4, 2015 · Pittsburg, Ca
- Q•• F•••••••• L•• unclassifiedDec 16, 2008 to Aug 27, 2010 · Milpitas, Ca
- E•••••••• A••••••• I•• unclassifiedJan 3, 2007 to Dec 15, 2008 · Roseville, Ca
- U••••• S••••••••• A•••••••• I••• unclassifiedApr 4, 2006 to Jan 3, 2007 · Milpitas, Ca
- S••••••• F•••••••• S•••••••• I••• unclassifiedApr 22, 2005 to Jul 17, 2006 · Walnut Creek, Ca
- O•••• W•••••• I••• BD affiliatedMar 30, 2005 to Apr 6, 2006 · Walnut Creek, Ca
- M•• F•••••••• S•••••••• I••• formerMay 27, 2004 to Nov 29, 2004 · Addison, Tx
- F•••••••• E••••• S•••••••• I••• to P•••••• P••••••• P•••••••• I•••left Mar 4, 2015, registered Jun 25, 2021 (2305 days) · Other
- Q•• F•••••••• L•• to F•••••••• E••••• S•••••••• I•••left Aug 27, 2010, registered Aug 30, 2010 (3 days) · Other
- E•••••••• A••••••• I•• to Q•• F•••••••• L••left Dec 15, 2008, registered Dec 16, 2008 (1 days) · Other
- U••••• S••••••••• A•••••••• I••• to E•••••••• A••••••• I••left Jan 3, 2007, registered Jan 3, 2007 (0 days) · Other
- S••••••• F•••••••• S•••••••• I••• to U••••• S••••••••• A•••••••• I•••left Jul 17, 2006, registered Apr 4, 2006 (-104 days) · Other
- O•••• W•••••• I••• to S••••••• F•••••••• S•••••••• I•••left Apr 6, 2006, registered Apr 22, 2005 (-349 days) · Other
- M•• F•••••••• S•••••••• I••• to O•••• W•••••• I•••left Nov 29, 2004, registered Mar 30, 2005 (121 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
- STATE REGISTEREDderived
- Years in industry
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address