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.
S•••• B•••••• P•••••••
- O•••• W•••••• I••• BD affiliated currentsince Jun 14, 2024 · Walnut Creek, Ca
- S••••••••• A•••••• A•••••••• I••• formerJan 15, 2018 to Jun 14, 2024 · Walnut Creek, Ca
- C•• F•••••••• G••••• I••• formerApr 16, 2008 to Dec 31, 2017 · Hayward, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 30, 2004 to Mar 25, 2008 · Berkeley, Ca
- A••••••••• A•••••• S•••••••• I••• unclassifiedJun 27, 2003 to May 5, 2004 · Walnut Creek, Ca
- C•••••• L•• independent RIAMar 5, 2003 to Jul 9, 2003 · Walnut Creek, Ca
- S••••••••• A•••••• A•••••••• I••• to O•••• W•••••• I•••left Jun 14, 2024, registered Jun 14, 2024 (0 days) · corporate re-registration, not a move
- C•• F•••••••• G••••• I••• to S••••••••• A•••••• A•••••••• I•••left Dec 31, 2017, registered Jan 15, 2018 (15 days) · Other · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•• F•••••••• G••••• I•••left Mar 25, 2008, registered Apr 16, 2008 (22 days) · Other
- A••••••••• A•••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 5, 2004, registered Mar 30, 2004 (-36 days) · Other
- C•••••• L•• to A••••••••• A•••••• S•••••••• I•••left Jul 9, 2003, registered Jun 27, 2003 (-12 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
- 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