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•••••• B•••• P•••
- R•• C•••••• M••••••• L•• national BD currentsince Jan 16, 2018 · San Jose, Ca
- W•••• F•••• A••••••• wirehouseJul 1, 2003 to Jan 25, 2018 · San Jose, Ca
- P••••••••• E••••• G••••• L•• unclassifiedMar 27, 1998 to Jul 1, 2003 · San Jose, Ca
- W•••• F•••• A••••••• to R•• C•••••• M••••••• L••left Jan 25, 2018, registered Jan 16, 2018 (-9 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••left Jul 1, 2003, registered Jul 1, 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
- National broker-dealer RIAderived
- Years in industry
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address