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.
- M••••• S•••••• wirehouse currentsince Dec 15, 2014 · Cupertino, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 5, 2011 to Dec 15, 2014 · Palo Alto, Ca
- A••••••• A••••••• S••••••• formerMay 14, 2008 to Dec 23, 2011 · San Jose, Ca
- M•• I•••••••• S•••••••• L•• BD affiliatedMay 30, 2001 to Apr 8, 2008 · San Jose, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Dec 15, 2014, registered Dec 15, 2014 (0 days) · Wirehouse to wirehouse
- A••••••• A••••••• S••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Dec 23, 2011, registered Dec 5, 2011 (-18 days) · Other
- M•• I•••••••• S•••••••• L•• to A••••••• A••••••• S•••••••left Apr 8, 2008, registered May 14, 2008 (36 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
- Wirehousederived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address