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••••••••• J••• G••••
- H•••••• S••••••••• I••• BD affiliated currentsince May 13, 2013 · San Francisco, Ca
- U•• F•••••••• S••••••• I••• wirehouseSep 25, 2008 to May 20, 2013 · Las Vegas, Nv
- W•••• F•••• I••••••••• L•• unclassifiedMay 18, 2004 to Oct 13, 2008 · Las Vegas, Nv
- C•••••••• G••••• M•••••• I••• BD affiliatedApr 22, 2003 to May 21, 2004 · Las Vegas, Nv
- U•• F•••••••• S••••••• I••• to H•••••• S••••••••• I•••left May 20, 2013, registered May 13, 2013 (-7 days) · Other
- W•••• F•••• I••••••••• L•• to U•• F•••••••• S••••••• I•••left Oct 13, 2008, registered Sep 25, 2008 (-18 days) · Other
- C•••••••• G••••• M•••••• I••• to W•••• F•••• I••••••••• L••left May 21, 2004, registered May 18, 2004 (-3 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
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address