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.
J•••• P•••••• C•••••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Jun 10, 2016 · San Rafael, Ca
- P•••••••• I•••••••• O• A•••••• formerJul 16, 2013 to Jul 22, 2016 · San Anselmo, Ca
- E•• F•••••••• A••••••• independent RIAMar 5, 2002 to Jul 31, 2013 · San Francisco, Ca
- P•••••••• I•••••••• O• A•••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Jul 22, 2016, registered Jun 10, 2016 (-42 days) · Other · moved with a team
- E•• F•••••••• A••••••• to P•••••••• I•••••••• O• A••••••left Jul 31, 2013, registered Jul 16, 2013 (-15 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address