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.
R••••• Z••••••••
- C•••••••• G••••• M•••••• I••• BD affiliated currentsince Jan 23, 2023 · San Francisco, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 11, 2012 to Jan 3, 2023 · San Jose, Ca
- M••••• S•••••• wirehouseJun 1, 2009 to Feb 9, 2012 · Woodland Hills, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 17, 2007 to Jun 1, 2009 · Woodland Hills, Ca
- M••••• S•••••• D• I••• unclassifiedSep 29, 2005 to Oct 3, 2006 · Woodland Hills, Ca
- U•• I••••••••• I••• unclassifiedJun 3, 2002 to May 23, 2005 · San Francisco, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••••• G••••• M•••••• I•••left Jan 3, 2023, registered Jan 23, 2023 (20 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 9, 2012, registered Jul 11, 2012 (153 days) · Wirehouse to wirehouse
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to C•••••••• G••••• M•••••• I•••left Oct 3, 2006, registered May 17, 2007 (226 days) · Other
- U•• I••••••••• I••• to M••••• S•••••• D• I•••left May 23, 2005, registered Sep 29, 2005 (129 days) · Other
- R••••• Z•••••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for C•••••••• G••••• M•••••• I••• (registered 2023-01-23)Jan 3, 2023 · 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
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address