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••• W•••••• F•••••
- C•••••• G•••• P•••••• C••••• S•••••••• I••• independent RIA currentsince Jul 1, 2021 · Los Angeles, Ca
- C•••••• B••• A•• T•••• C•••••• asset managerMay 25, 2021 to Jul 1, 2021 · San Francisco, Ca
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Mar 30, 2021 · Minneapolis, Mn
- W•••• F•••• I••••••••• L•• unclassifiedSep 25, 2002 to Jan 3, 2011 · Walnut Creek, Ca
- U•• F•••••••• S••••••• I••• wirehouseJul 8, 1997 to Oct 1, 2002 · San Francisco, Ca
- C•••••• B••• A•• T•••• C•••••• to C•••••• G•••• P•••••• C••••• S•••••••• I•••left Jul 1, 2021, registered Jul 1, 2021 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to C•••••• B••• A•• T•••• C••••••left Mar 30, 2021, registered May 25, 2021 (56 days) · Wirehouse to independent RIA
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to W•••• F•••• I••••••••• L••left Oct 1, 2002, registered Sep 25, 2002 (-6 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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address