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.
D•••••• J•••• W•••••
- U•• F•••••••• S••••••• I••• wirehouse currentsince Dec 4, 2020 · Danville, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 15, 2010 to Dec 8, 2020 · Casper, Wy
- M••••• S•••••• wirehouseJun 1, 2009 to Oct 29, 2010 · Wilson, Wy
- C•••••••• G••••• M•••••• I••• BD affiliatedOct 14, 2006 to Jun 1, 2009 · Walnut Creek, Ca
- W•••• F•••• A••••••• wirehouseJul 1, 2003 to Oct 18, 2006 · Walnut Creek, Ca
- P••••••••• E••••• G••••• L•• unclassifiedMay 11, 2001 to Jul 1, 2003 · Walnut Creek, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left Dec 8, 2020, registered Dec 4, 2020 (-4 days) · Wirehouse to wirehouse · moved with a team
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 29, 2010, registered Oct 15, 2010 (-14 days) · Wirehouse to wirehouse
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to C•••••••• G••••• M•••••• I•••left Oct 18, 2006, registered Oct 14, 2006 (-4 days) · Other
- P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••left Jul 1, 2003, registered Jul 1, 2003 (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
- Wirehousederived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address