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•••• A••••• B•••••
- N•••••••• A•••• M••••••••• independent RIA currentsince Jan 2, 2013 · Mercer Island, Wa
- M••••• S•••••• wirehouseJun 1, 2009 to Jan 16, 2013 · Santa Rosa, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedSep 19, 2008 to Jun 1, 2009 · Santa Rosa, Ca
- W•••• F•••• A••••••• wirehouseJul 30, 1999 to Sep 19, 2008 · Santa Rosa, Ca
- M••••• S•••••• to N•••••••• A•••• M•••••••••left Jan 16, 2013, registered Jan 2, 2013 (-14 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to C•••••••• G••••• M•••••• I•••left Sep 19, 2008, registered Sep 19, 2008 (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
- Independent wealth managerderived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address