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.
C••••• D••• D••••
- P•• A••••••• independent RIA currentsince Mar 6, 2015 · Phoenix, Az
- L•• F•••••••• L•• BD affiliatedMay 30, 2003 to Oct 11, 2017 · Santa Clara, Ca
- M•• I•••••••• S•••••••• L•• BD affiliatedSep 27, 1999 to Jun 25, 2003 · San Jose, Ca
- L•• F•••••••• L•• to P•• A•••••••left Oct 11, 2017, registered Mar 6, 2015 (-950 days) · Other · moved with a team
- M•• I•••••••• S•••••••• L•• to L•• F•••••••• L••left Jun 25, 2003, registered May 30, 2003 (-26 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
- Independent wealth managerderived
- Years in industry
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address