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.
M• B•••• C•••••••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Jun 29, 2023 · Livermore, Ca
- L•••••• W••••• M••••••••• L•• formerOct 21, 2008 to Nov 2, 2009 · Oakland, Ca
- L•••••• G••••• L•• unclassifiedFeb 28, 2008 to May 30, 2008 · Oakland, Ca
- A•••• C•••••• independent RIASep 27, 2005 to Feb 21, 2008 · Walnut Creek, Ca
- M••••• S•••••• D• I••• unclassifiedJul 8, 1997 to Nov 21, 2002 · San Francisco, Ca
- L•••••• W••••• M••••••••• L•• to C••••• I••••••••• A••••••• L••left Nov 2, 2009, registered Jun 29, 2023 (4987 days) · Other
- L•••••• G••••• L•• to L•••••• W••••• M••••••••• L••left May 30, 2008, registered Oct 21, 2008 (144 days) · Other
- A•••• C•••••• to L•••••• G••••• L••left Feb 21, 2008, registered Feb 28, 2008 (7 days) · Other
- M••••• S•••••• D• I••• to A•••• C••••••left Nov 21, 2002, registered Sep 27, 2005 (1041 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address