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.
N••••• A•••••• E••••••
- U•• F•••••••• S••••••• I••• wirehouse currentsince Feb 8, 2016 · San Francisco, Ca
- C••••• S••••• S••••••••• •••• L•• formerJan 17, 2003 to Mar 2, 2016 · San Francisco, Ca
- P••••••• L•• unclassifiedOct 4, 1999 to Jan 17, 2003 · San Francisco, Ca
- C••••• S••••• S••••••••• •••• L•• to U•• F•••••••• S••••••• I•••left Mar 2, 2016, registered Feb 8, 2016 (-23 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
- Wirehousederived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address