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.
R••••• B• S•••••
- M••••• S•••••• wirehouse currentsince Jun 11, 2014 · San Francisco, Ca
- S••••• A••• A•••• M••••••••• I••• formerFeb 11, 2011 to Jun 19, 2014 · San Francisco, Ca
- N••••••••• C•••••• P••••••• I••• unclassifiedMar 20, 2009 to Feb 14, 2011 · San Francisco, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedAug 2, 2004 to Aug 13, 2004 · San Francisco, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 8, 1997 to Mar 24, 2009 · San Francisco, Ca
- S••••• A••• A•••• M••••••••• I••• to M••••• S••••••left Jun 19, 2014, registered Jun 11, 2014 (-8 days) · Other
- N••••••••• C•••••• P••••••• I••• to S••••• A••• A•••• M••••••••• I•••left Feb 14, 2011, registered Feb 11, 2011 (-3 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••••• G••••• M•••••• I•••left Mar 24, 2009, registered Aug 2, 2004 (-1695 days) · Other
- C•••••••• G••••• M•••••• I••• to N••••••••• C•••••• P••••••• I•••left Aug 13, 2004, registered Mar 20, 2009 (1680 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
- Wirehousederived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address