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•••• B••••
- V•••• F•••••••• A•••••••• I••• BD affiliated currentsince Aug 31, 2020 · Modesto, Ca
- E•••••• C•••••• M••••••••• L•• formerMay 28, 2019 to Jun 5, 2020 · Palo Alto, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 13, 2017 to May 21, 2019 · San Francisco, Ca
- W•••••• • R••• formerFeb 8, 2017 to Mar 1, 2017 · San Mateo, Ca
- S••••••• F•••••••• S•••••••• I••• formerFeb 2, 2016 to Dec 22, 2016 · San Mateo, Ca
- L•••••• I••••••••• independent RIAApr 17, 2015 to Jan 13, 2016 · Woodland Hills, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedJul 8, 1997 to May 16, 2002 · Newport Beach, Ca
- E•••••• C•••••• M••••••••• L•• to V•••• F•••••••• A•••••••• I•••left Jun 5, 2020, registered Aug 31, 2020 (87 days) · RIA to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E•••••• C•••••• M••••••••• L••left May 21, 2019, registered May 28, 2019 (7 days) · Wirehouse to independent RIA
- W•••••• • R••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 1, 2017, registered Mar 13, 2017 (12 days) · Other · moved with a team
- S••••••• F•••••••• S•••••••• I••• to W•••••• • R•••left Dec 22, 2016, registered Feb 8, 2017 (48 days) · Other
- L•••••• I••••••••• to S••••••• F•••••••• S•••••••• I•••left Jan 13, 2016, registered Feb 2, 2016 (20 days) · Other
- C•••••••• G••••• M•••••• I••• to L•••••• I•••••••••left May 16, 2002, registered Apr 17, 2015 (4719 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