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.
H•••• Z••••• R••••
- M••••••• T•• L•• independent RIA currentsince Mar 23, 2023 · San Francisco, Ca
- M••••• S•••••• wirehouseJun 1, 2009 to Oct 19, 2012 · San Francisco, Ca
- M••••• S•••••• • C•• L•• unclassifiedApr 13, 2006 to Jun 1, 2009 · San Francisco, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedAug 19, 2003 to Apr 18, 2006 · San Francisco, Ca
- B••• O• A•••••• S••••••••• L•• unclassifiedMay 8, 2002 to Aug 20, 2003 · San Francisco, Ca
- M••••• S•••••• to M••••••• T•• L••left Oct 19, 2012, registered Mar 23, 2023 (3807 days) · Wirehouse to independent RIA
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- B••• O• A•••••• I••••••••• S•••••••• I••• to M••••• S•••••• • C•• L••left Apr 18, 2006, registered Apr 13, 2006 (-5 days) · Other
- B••• O• A•••••• S••••••••• L•• to B••• O• A•••••• I••••••••• S•••••••• I•••left Aug 20, 2003, registered Aug 19, 2003 (-1 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