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•••••• R••• K••••••••
- L•• F•••••••• L•• BD affiliated currentsince Sep 30, 2019 · Santa Clara, Ca
- C••••• I••••••••• A••••••• L•• BD affiliatedJan 21, 2014 to Sep 27, 2019 · San Jose, Ca
- C••••• I••••••••• S••••••• L•• formerDec 1, 2010 to Jan 21, 2014 · San Jose, Ca
- C••• F•••••••• S•••••••• L••• formerSep 1, 2010 to Dec 2, 2010 · San Jose, Ca
- L•• F•••••••• L•• BD affiliatedSep 16, 2008 to Aug 30, 2010 · San Jose, Ca
- W••••• F•••••••• S•••••••• L•• formerMar 16, 2006 to Aug 18, 2008 · Sunnyvale, Ca
- O•••• F•• I••• formerOct 25, 2002 to Apr 15, 2003 · San Ramon, Ca
- C••••• I••••••••• A••••••• L•• to L•• F•••••••• L••left Sep 27, 2019, registered Sep 30, 2019 (3 days) · Affiliated broker-dealer or bank to another · moved with a team
- C••••• I••••••••• S••••••• L•• to C••••• I••••••••• A••••••• L••left Jan 21, 2014, registered Jan 21, 2014 (0 days) · corporate re-registration, not a move
- C••• F•••••••• S•••••••• L••• to C••••• I••••••••• S••••••• L••left Dec 2, 2010, registered Dec 1, 2010 (-1 days) · Other
- L•• F•••••••• L•• to C••• F•••••••• S•••••••• L•••left Aug 30, 2010, registered Sep 1, 2010 (2 days) · Other
- W••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••left Aug 18, 2008, registered Sep 16, 2008 (29 days) · Other
- O•••• F•• I••• to W••••• F•••••••• S•••••••• L••left Apr 15, 2003, registered Mar 16, 2006 (1066 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