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.
F•••• A•••••• V•••••••••
- U• C•••••• G••••• W••••• M••••••••• L•• state registered currentsince Mar 28, 2019 · San Francisco, Ca
- U• C•••••• G••••• W••••• M••••••••• L•• unclassifiedDec 27, 2016 to Aug 24, 2019 · San Francisco, Ca
- S•••••• N••••••• • C••••••• I••••••••• national BDNov 23, 2015 to Oct 10, 2016 · San Francisco, Ca
- J••• M••••• S••••••••• L•• wirehouseJan 12, 2009 to Dec 4, 2015 · San Francisco, Ca
- C••••• S••••• S••••••••• •••• L•• formerJan 17, 2003 to Feb 6, 2009 · San Francisco, Ca
- P••••••• L•• unclassifiedJul 30, 2002 to Jan 17, 2003 · San Francisco, Ca
- U• C•••••• G••••• W••••• M••••••••• L•• to U• C•••••• G••••• W••••• M••••••••• L••left Aug 24, 2019, registered Mar 28, 2019 (-149 days) · Other · moved with a team
- S•••••• N••••••• • C••••••• I••••••••• to U• C•••••• G••••• W••••• M••••••••• L••left Oct 10, 2016, registered Dec 27, 2016 (78 days) · Other
- J••• M••••• S••••••••• L•• to S•••••• N••••••• • C••••••• I•••••••••left Dec 4, 2015, registered Nov 23, 2015 (-11 days) · Wirehouse to affiliated broker-dealer or bank
- C••••• S••••• S••••••••• •••• L•• to J••• M••••• S••••••••• L••left Feb 6, 2009, registered Jan 12, 2009 (-25 days) · Other
- P••••••• L•• to C••••• S••••• S••••••••• •••• L••left Jan 17, 2003, registered Jan 17, 2003 (0 days) · corporate re-registration, not a move
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
- STATE REGISTEREDderived
- Years in industry
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address