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•••• W•••••• B•••••
- S••••• A•••• M••••••••• L••••• i••••••••• wealth currentsince Jun 4, 2021 · San Francisco, Ca
- C••••••• A•••• M••••••••• L•• BD affiliatedMay 23, 2016 to Apr 30, 2021 · Issaquah, Wa
- I••••••••• F•••••••• G••••• L•• BD affiliatedDec 12, 2008 to May 19, 2016 · San Diego, Ca
- E•••••••• A••••••• I•• unclassifiedOct 17, 2007 to Dec 15, 2008 · Roseville, Ca
- P•••••• W••• F•••••••• C••••••••• I•• formerJun 23, 2000 to Oct 18, 2007 · Seattle, Wa
- C••••••• A•••• M••••••••• L•• to S••••• A•••• M••••••••• L•••••left Apr 30, 2021, registered Jun 4, 2021 (35 days) · Affiliated broker-dealer or bank to independent RIA
- I••••••••• F•••••••• G••••• L•• to C••••••• A•••• M••••••••• L••left May 19, 2016, registered May 23, 2016 (4 days) · Other
- E•••••••• A••••••• I•• to I••••••••• F•••••••• G••••• L••left Dec 15, 2008, registered Dec 12, 2008 (-3 days) · Other
- P•••••• W••• F•••••••• C••••••••• I•• to E•••••••• A••••••• I••left Oct 18, 2007, registered Oct 17, 2007 (-1 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
- Independent wealth managerderived
- Years in industry
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address