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••••• C•••••• J••••••
- 3•• F•••••••• P•••••••• I••• former currentsince Jul 18, 2017 · Walnut Creek, Ca
- M••••• S•••••• wirehouseMar 11, 2014 to Jun 16, 2016 · Oakland, Ca
- T••• I••••••••• A•••••••• L•• independent RIAJun 27, 2013 to Dec 31, 2013 · Laguna Niguel, Ca
- C••••••••• C•••••• M••••••••• I••• unclassifiedMar 21, 2011 to Jan 9, 2013 · Carlsbad, Ca
- M••••• S•••••• to 3•• F•••••••• P•••••••• I•••left Jun 16, 2016, registered Jul 18, 2017 (397 days) · Other
- T••• I••••••••• A•••••••• L•• to M••••• S••••••left Dec 31, 2013, registered Mar 11, 2014 (70 days) · Other
- C••••••••• C•••••• M••••••••• I••• to T••• I••••••••• A•••••••• L••left Jan 9, 2013, registered Jun 27, 2013 (169 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
- Former SEC-registered adviserderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address