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.
C•••••••• S•••• A•••••••
- V•••• F•••••••• A•••••••• I••• BD affiliated currentsince Aug 3, 2012 · Lakewood, Co
- S•••••• S•• F•••••• F•••••••• A••••••• L•• formerApr 29, 2011 to Dec 22, 2011 · San Mateo, Ca
- T•• S•••••••• F•••••••• A••••••• BD affiliatedJul 2, 2007 to Sep 8, 2008 · Larkspur, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedMay 21, 2004 to Jul 19, 2005 · San Francisco, Ca
- I••• S••••••••• I••• unclassifiedJun 23, 2003 to May 25, 2004 · Larkspur, Ca
- S•••••• S•• F•••••• F•••••••• A••••••• L•• to V•••• F•••••••• A•••••••• I•••left Dec 22, 2011, registered Aug 3, 2012 (225 days) · Other
- T•• S•••••••• F•••••••• A••••••• to S•••••• S•• F•••••• F•••••••• A••••••• L••left Sep 8, 2008, registered Apr 29, 2011 (963 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to T•• S•••••••• F•••••••• A•••••••left Jul 19, 2005, registered Jul 2, 2007 (713 days) · Other
- I••• S••••••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left May 25, 2004, registered May 21, 2004 (-4 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address