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.
D•••••• K••• G•••••
- R•• C•••••• M••••••• L•• national BD currentsince Mar 23, 2018 · San Francisco, Ca
- J••• M••••• S••••••••• L•• wirehouseMay 19, 2003 to Mar 7, 2018 · San Francisco, Ca
- O••••••••• • C•• I••• BD affiliatedJan 3, 2003 to May 20, 2003 · San Francisco, Ca
- C••• W•••• M•••••• C•••• unclassifiedNov 10, 1997 to Jan 3, 2003 · San Francisco, Ca
- J••• M••••• S••••••••• L•• to R•• C•••••• M••••••• L••left Mar 7, 2018, registered Mar 23, 2018 (16 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- O••••••••• • C•• I••• to J••• M••••• S••••••••• L••left May 20, 2003, registered May 19, 2003 (-1 days) · Other
- C••• W•••• M•••••• C•••• to O••••••••• • C•• I•••left Jan 3, 2003, registered Jan 3, 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