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.
E•••••••• D••• S•••••••••
- L•• F•••••••• L•• BD affiliated currentsince Mar 12, 2024 · Novato, Ca
- S•• BD affiliatedJan 25, 2005 to Mar 12, 2024 · Ann Arbor, Mi
- S•• BD affiliatedFeb 6, 2003 to Dec 16, 2003 · San Francisco, Ca
- T•• L•• F•••••••• E•••• L•• unclassifiedJun 20, 2001 to Dec 15, 2009 · San Francisco, Ca
- S•• to L•• F•••••••• L••left Mar 12, 2024, registered Mar 12, 2024 (0 days) · Affiliated broker-dealer or bank to another
- T•• L•• F•••••••• E•••• L•• to S••left Dec 15, 2009, registered Feb 6, 2003 (-2504 days) · Other
- E•••••••• D••• S••••••••• left Spc for L•• F•••••••• L•• (registered 2024-03-12)Mar 12, 2024 · Advisor changed firm · fact
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
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address