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.
O•••• B•• T•••••
- O••••••••• • C•• I••• BD affiliated currentsince Aug 10, 2015 · Washington, Dc
- M••••• S•••••• D• I••• unclassifiedSep 22, 2003 to Dec 19, 2005 · San Francisc, Ca
- P•••• S•••••• • C•• institutionalAug 2, 2000 to Oct 16, 2002 · San Francisco, Ca
- M••••• S•••••• D• I••• to O••••••••• • C•• I•••left Dec 19, 2005, registered Aug 10, 2015 (3521 days) · Other
- P•••• S•••••• • C•• to M••••• S•••••• D• I•••left Oct 16, 2002, registered Sep 22, 2003 (341 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
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address