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••• R•••••• P•••••
- E•••••• F•••••••• E•••••• independent RIA currentsince Nov 1, 2018 · Santa Clara, Ca
- E•••••• F•••••••• S•••••••• L•• formerAug 11, 2015 to Nov 1, 2018 · Santa Clara, Ca
- U••• B•••••• A•••••••• L•• BD affiliatedJan 8, 2015 to Aug 6, 2015 · San Francisco, Ca
- P••••••• C•••••• A••••••• L•• formerNov 17, 2010 to Dec 10, 2013 · San Francisco, Ca
- C•••••• S••••• • C••• I••• national BDMar 27, 2007 to Oct 13, 2010 · San Francisco, Ca
- C••••••• S••••••••• formerJun 14, 2004 to Sep 29, 2006 · Santa Cruz, Ca
- W•••• F•••• I••••••••• L•• unclassifiedApr 6, 1998 to May 5, 2003 · San Francisco, Ca
- E•••••• F•••••••• S•••••••• L•• to E•••••• F•••••••• E••••••left Nov 1, 2018, registered Nov 1, 2018 (0 days) · corporate re-registration, not a move
- U••• B•••••• A•••••••• L•• to E•••••• F•••••••• S•••••••• L••left Aug 6, 2015, registered Aug 11, 2015 (5 days) · Other
- P••••••• C•••••• A••••••• L•• to U••• B•••••• A•••••••• L••left Dec 10, 2013, registered Jan 8, 2015 (394 days) · Other
- C•••••• S••••• • C••• I••• to P••••••• C•••••• A••••••• L••left Oct 13, 2010, registered Nov 17, 2010 (35 days) · Other
- C••••••• S••••••••• to C•••••• S••••• • C••• I•••left Sep 29, 2006, registered Mar 27, 2007 (179 days) · Other
- W•••• F•••• I••••••••• L•• to C••••••• S•••••••••left May 5, 2003, registered Jun 14, 2004 (406 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address