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.
W•••••• C•••• W• T•••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Oct 5, 2018 · Pasadena, Ca
- U••• B•••••• I••••••••• I••• formerApr 8, 2013 to Apr 11, 2018 · San Francisco, Ca
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Nov 7, 2011 · San Jose, Ca
- W•••• F•••• I••••••••• L•• unclassifiedAug 25, 2008 to Jan 3, 2011 · San Jose, Ca
- W•••• F•••• I••••••••• L•• unclassifiedJan 31, 2006 to Mar 24, 2008 · Westlake Village, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedAug 23, 2001 to Jan 19, 2006 · Fremont, Ca
- U••• B•••••• I••••••••• I••• to C••••• I••••••••• A••••••• L••left Apr 11, 2018, registered Oct 5, 2018 (177 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to U••• B•••••• I••••••••• I•••left Nov 7, 2011, registered Apr 8, 2013 (518 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
- B••• O• A•••••• I••••••••• S•••••••• I••• to W•••• F•••• I••••••••• L••left Jan 19, 2006, registered Jan 31, 2006 (12 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
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address