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.
A••••• D••••• S•••••••
- M••••• S•••••• wirehouse currentsince Jan 27, 2017 · San Francisco, Ca
- W•••• F•••• A••••••• wirehouseJan 4, 2016 to Jan 9, 2017 · San Francisco, Ca
- C••••••••• I••••••••• L•• mixed wealthDec 15, 2005 to Feb 19, 2015 · New York, Ny
- C•••••••• G••••• M•••••• I••• BD affiliatedJul 8, 1997 to Dec 21, 2005 · San Francisco, Ca
- W•••• F•••• A••••••• to M••••• S••••••left Jan 9, 2017, registered Jan 27, 2017 (18 days) · Wirehouse to wirehouse · moved with a team
- C••••••••• I••••••••• L•• to W•••• F•••• A•••••••left Feb 19, 2015, registered Jan 4, 2016 (319 days) · Other
- C•••••••• G••••• M•••••• I••• to C••••••••• I••••••••• L••left Dec 21, 2005, registered Dec 15, 2005 (-6 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address