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.
K••••••• A• S••••••
- C•••••• S••••• • C••• I••• national BD currentsince Nov 9, 2018 · Walnut Creek, Ca
- R•••••• J•••• • A••••••••• I••• national BDSep 6, 2016 to Nov 3, 2017 · San Francisco, Ca
- D••••••• B••• S••••••••• I••• no RAUMSep 19, 2014 to Sep 6, 2016 · San Francisco, Ca
- E•••••••• A•••••••• L•• national BDJan 14, 2013 to Aug 13, 2014 · San Francisco, Ca
- R•••••• J•••• • A••••••••• I••• to C•••••• S••••• • C••• I•••left Nov 3, 2017, registered Nov 9, 2018 (371 days) · Affiliated broker-dealer or bank to another
- D••••••• B••• S••••••••• I••• to R•••••• J•••• • A••••••••• I•••left Sep 6, 2016, registered Sep 6, 2016 (0 days) · corporate re-registration, not a move
- E•••••••• A•••••••• L•• to D••••••• B••• S••••••••• I•••left Aug 13, 2014, registered Sep 19, 2014 (37 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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address