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.
P••• G••••• W•••••
- V••••• W••••• M••••••••• L•• state registered currentsince Jul 18, 2013 · Lenexa, Ks
- B••• I••••••••• A••••••• I•• independent RIAMay 3, 2006 to Apr 22, 2009 · Orinda, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 23, 2004 to Feb 28, 2006 · Oakland, Ca
- C•••••• S••••• • C••• I••• national BDOct 9, 2003 to Aug 11, 2004 · Oakland, Ca
- M••••• S•••••• D• I••• unclassifiedNov 6, 2002 to Sep 2, 2003 · Oakland, Ca
- B••• I••••••••• A••••••• I•• to V••••• W••••• M••••••••• L••left Apr 22, 2009, registered Jul 18, 2013 (1548 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to B••• I••••••••• A••••••• I••left Feb 28, 2006, registered May 3, 2006 (64 days) · Other
- C•••••• S••••• • C••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 11, 2004, registered Jul 23, 2004 (-19 days) · Affiliated broker-dealer or bank to wirehouse
- M••••• S•••••• D• I••• to C•••••• S••••• • C••• I•••left Sep 2, 2003, registered Oct 9, 2003 (37 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
- STATE REGISTEREDderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address