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.
J••• H•••••• R•••••••••
- W•••• F•••• A••••••• wirehouse currentsince Jun 26, 2020 · Sonoma, Ca
- M••••• S•••••• wirehouseJul 3, 2012 to Jun 29, 2020 · San Francisco, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDMay 19, 2011 to Jul 16, 2012 · San Francisco, Ca
- M•• I•••••••• S•••••••• L•• BD affiliatedOct 4, 2010 to May 20, 2011 · San Francisco, Ca
- H••••••••• W••••• S••••••••• unclassifiedJan 14, 2010 to Aug 18, 2011 · San Francisco, Ca
- J•••• • L••••• S••••••••• C••• unclassifiedJan 8, 2009 to Mar 5, 2009 · San Francisco, Ca
- C••••• S••••• S••••••••• •••• L•• formerOct 5, 2006 to Jan 30, 2009 · San Francisco, Ca
- M•••• L•• unclassifiedApr 1, 2004 to Jul 5, 2006 · Pittsburgh, Pa
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedMay 2, 2002 to Apr 1, 2004 · Los Angeles, Ca
- M••••• S•••••• to W•••• F•••• A•••••••left Jun 29, 2020, registered Jun 26, 2020 (-3 days) · Wirehouse to wirehouse · moved with a team
- A••••••••• F•••••••• S•••••••• L•• to M••••• S••••••left Jul 16, 2012, registered Jul 3, 2012 (-13 days) · Affiliated broker-dealer or bank to wirehouse
- H••••••••• W••••• S••••••••• to M•• I•••••••• S•••••••• L••left Aug 18, 2011, registered Oct 4, 2010 (-318 days) · Other
- M•• I•••••••• S•••••••• L•• to A••••••••• F•••••••• S•••••••• L••left May 20, 2011, registered May 19, 2011 (-1 days) · Other
- J•••• • L••••• S••••••••• C••• to H••••••••• W••••• S•••••••••left Mar 5, 2009, registered Jan 14, 2010 (315 days) · Other
- C••••• S••••• S••••••••• •••• L•• to J•••• • L••••• S••••••••• C•••left Jan 30, 2009, registered Jan 8, 2009 (-22 days) · Other
- M•••• L•• to C••••• S••••• S••••••••• •••• L••left Jul 5, 2006, registered Oct 5, 2006 (92 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••• L••left Apr 1, 2004, registered Apr 1, 2004 (0 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
- Wirehousederived
- Years in industry
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address