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.
M•••••• P•••••• K•••••••
- D•••• I••••••••• M••••••••• L•• independent RIA currentsince Oct 4, 2019 · San Ramon, Ca
- P••••••••• F•••••••• G••••• I••• formerDec 9, 2014 to Nov 1, 2019 · San Ramon, Ca
- F•• S••••••••• C••••••••• formerFeb 3, 2009 to Dec 9, 2014 · Des Moines, Ia
- P••••••••• F•••••••• G••••• I••• to D•••• I••••••••• M••••••••• L••left Nov 1, 2019, registered Oct 4, 2019 (-28 days) · RIA to RIA
- F•• S••••••••• C••••••••• to P••••••••• F•••••••• G••••• I•••left Dec 9, 2014, registered Dec 9, 2014 (0 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