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.
B•••• R•••••• S••••
- V••••••• A•••••••• I••• BD affiliated currentsince Oct 29, 2021 · Scottsdale, Az
- V•••• F•••••••• A•••••••• I••• BD affiliatedJun 21, 2012 to Feb 25, 2015 · Houston, Tx
- C••• F•••••••• S•••••••• L••• formerApr 20, 2009 to Dec 1, 2011 · Berkeley, Ca
- T• A••••••••• I••••••••• M••••••••• L•• formerFeb 6, 2008 to Apr 20, 2009 · Walnut Creek, Ca
- T• A••••••••• I••• formerFeb 6, 2008 to Apr 20, 2009 · Walnut Creek, Ca
- B••••• • Y•••• A•••••••• I••• formerOct 6, 2005 to Dec 20, 2006 · Lafayette, Ca
- A••••••••• A•••••• S•••••••• I••• unclassifiedJan 7, 2005 to Oct 7, 2005 · Walnut Creek, Ca
- V•••• F•••••••• A•••••••• I••• to V••••••• A•••••••• I•••left Feb 25, 2015, registered Oct 29, 2021 (2438 days) · Other
- C••• F•••••••• S•••••••• L••• to V•••• F•••••••• A•••••••• I•••left Dec 1, 2011, registered Jun 21, 2012 (203 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Apr 20, 2009, registered Feb 6, 2008 (-439 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Apr 20, 2009, registered Feb 6, 2008 (-439 days) · channel change inside one enterprise, not a move
- B••••• • Y•••• A•••••••• I••• to T• A••••••••• I•••left Dec 20, 2006, registered Feb 6, 2008 (413 days) · Other
- A••••••••• A•••••• S•••••••• I••• to B••••• • Y•••• A•••••••• I•••left Oct 7, 2005, registered Oct 6, 2005 (-1 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address