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.
K••••• E••••• S•••••••••
- G•••• P••• A•••••••• L•• independent RIA currentsince Aug 31, 2015 · Los Altos, Ca
- W••••••••• L•• independent RIAApr 20, 2006 to Oct 28, 2015 · Redwood City, Ca
- A••••• C••••••••• G•••• unclassifiedJul 11, 2003 to Jul 27, 2006 · Los Altos, Ca
- G•••••••• • S•••• L•• unclassifiedSep 7, 1999 to Jun 30, 2003 · Los Altos, Ca
- W••••••••• L•• to G•••• P••• A•••••••• L••left Oct 28, 2015, registered Aug 31, 2015 (-58 days) · Other
- A••••• C••••••••• G•••• to W••••••••• L••left Jul 27, 2006, registered Apr 20, 2006 (-98 days) · Other
- G•••••••• • S•••• L•• to A••••• C••••••••• G••••left Jun 30, 2003, registered Jul 11, 2003 (11 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
- Independent wealth managerderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address