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.
- S••• C••••••••• L•• state registered currentsince Jun 8, 2018 · Ontario, Ca
- G••••• S•••• A•••••••• L•• state registeredOct 13, 2011 to Jul 10, 2018 · San Mateo, Ca
- C•••••• S••••• • C••• I••• national BDFeb 2, 1999 to Sep 13, 2011 · Oakland, Ca
- G••••• S•••• A•••••••• L•• to S••• C••••••••• L••left Jul 10, 2018, registered Jun 8, 2018 (-32 days) · Other
- C•••••• S••••• • C••• I••• to G••••• S•••• A•••••••• L••left Sep 13, 2011, registered Oct 13, 2011 (30 days) · Affiliated broker-dealer or bank to a state-registered adviser
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
- STATE REGISTEREDderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address