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.
V••••• D•••••• H••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Oct 29, 2015 · Berkeley, Ca
- M•• F•••••••• S•••••••• I••• formerJun 10, 2009 to Oct 20, 2015 · Walnut Creek, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 6, 2006 to May 18, 2009 · Oakland, Ca
- A••••••• A••••••• S••••••• formerApr 1, 2004 to Nov 21, 2006 · Oakland, Ca
- H•••••• T••••••• • K•••• L•• independent RIAJul 24, 2003 to Dec 5, 2003 · Walnut Creek, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDNov 28, 2002 to Mar 13, 2003 · San Francisco, Ca
- M•• F•••••••• S•••••••• I••• to J••• M••••• S••••••••• L••left Oct 20, 2015, registered Oct 29, 2015 (9 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M•• F•••••••• S•••••••• I•••left May 18, 2009, registered Jun 10, 2009 (23 days) · Other
- A••••••• A••••••• S••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 21, 2006, registered Nov 6, 2006 (-15 days) · Other
- H•••••• T••••••• • K•••• L•• to A••••••• A••••••• S•••••••left Dec 5, 2003, registered Apr 1, 2004 (118 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to H•••••• T••••••• • K•••• L••left Mar 13, 2003, registered Jul 24, 2003 (133 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
- Wirehousederived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address