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.
J••• P••• S•••••
- L•• F•••••••• L•• BD affiliated currentsince Mar 12, 2015 · Concord, Ca
- F•••• A••••• A••••••• S•••••••• I••• formerOct 18, 2012 to Apr 2, 2015 · Alamo, Ca
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerMay 12, 2009 to Oct 5, 2012 · Walnut Creek, Ca
- F•••• A••••• A••••••• S•••••••• I••• to L•• F•••••••• L••left Apr 2, 2015, registered Mar 12, 2015 (-21 days) · Other
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to F•••• A••••• A••••••• S•••••••• I•••left Oct 5, 2012, registered Oct 18, 2012 (13 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address