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••••••••• L•• independent RIA currentsince Sep 16, 2015 · San Jose, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDJan 15, 2013 to Jul 17, 2014 · San Jose, Ca
- N•••••• C•••••• M••••••••• I•• formerJun 25, 2009 to Nov 29, 2011 · Scotts Valley, Ca
- M••••• S•••••• wirehouseJun 1, 2009 to Jun 19, 2009 · Cupertino, Ca
- M••••• S•••••• • C•• L•• unclassifiedSep 4, 2008 to Jun 1, 2009 · Cupertino, Ca
- A••••••••• F•••••••• S•••••••• L•• to B••••••••• L••left Jul 17, 2014, registered Sep 16, 2015 (426 days) · Other
- N•••••• C•••••• M••••••••• I•• to A••••••••• F•••••••• S•••••••• L••left Nov 29, 2011, registered Jan 15, 2013 (413 days) · Other
- M••••• S•••••• to N•••••• C•••••• M••••••••• I••left Jun 19, 2009, registered Jun 25, 2009 (6 days) · Other
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
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
- Independent wealth managerderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address