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.
N••• P••••••• B•••••
- O•••• W•••••• I••• BD affiliated currentsince Jun 14, 2024 · Castro Valley, Ca
- S••••••••• A•••••• A•••••••• I••• formerOct 12, 2017 to Jun 14, 2024 · Oakland, Ca
- W•••••• • R••• formerNov 15, 2013 to Oct 19, 2017 · Concord, Ca
- M•• F•••••••• S•••••••• I••• formerDec 4, 2009 to Nov 22, 2013 · Walnut Creek, Ca
- A••••••• A••••••• S••••••• formerJun 30, 2006 to Dec 15, 2009 · San Ramon, Ca
- C••••••• I••••••••• I••• unclassifiedFeb 13, 2006 to Jun 30, 2006 · Danville, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDJan 3, 2003 to Feb 17, 2006 · Walnut Creek, Ca
- W•••••• • R••• formerDec 7, 2001 to Dec 3, 2002 · Dublin, Ca
- S••••••••• A•••••• A•••••••• I••• to O•••• W•••••• I•••left Jun 14, 2024, registered Jun 14, 2024 (0 days) · corporate re-registration, not a move
- W•••••• • R••• to S••••••••• A•••••• A•••••••• I•••left Oct 19, 2017, registered Oct 12, 2017 (-7 days) · Other · moved with a team
- M•• F•••••••• S•••••••• I••• to W•••••• • R•••left Nov 22, 2013, registered Nov 15, 2013 (-7 days) · Other
- A••••••• A••••••• S••••••• to M•• F•••••••• S•••••••• I•••left Dec 15, 2009, registered Dec 4, 2009 (-11 days) · Other
- C••••••• I••••••••• I••• to A••••••• A••••••• S•••••••left Jun 30, 2006, registered Jun 30, 2006 (0 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to C••••••• I••••••••• I•••left Feb 17, 2006, registered Feb 13, 2006 (-4 days) · Other
- W•••••• • R••• to A••••••••• F•••••••• S•••••••• L••left Dec 3, 2002, registered Jan 3, 2003 (31 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address