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.
C•••••• S•••••••
- R•• C•••••• M••••••• L•• national BD currentsince Jun 18, 2021 · San Jose, Ca
- M••••• S•••••• wirehouseJun 1, 2009 to Jun 23, 2021 · Cupertino, Ca
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · Cupertino, Ca
- M••••• S•••••• D• I••• unclassifiedAug 24, 2004 to Apr 2, 2007 · Cupertino, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedMar 22, 1999 to Aug 11, 2004 · Santa Clara, Ca
- M••••• S•••••• to R•• C•••••• M••••••• L••left Jun 23, 2021, registered Jun 18, 2021 (-5 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- C•••••••• G••••• M•••••• I••• to M••••• S•••••• D• I•••left Aug 11, 2004, registered Aug 24, 2004 (13 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
- National broker-dealer RIAderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address