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•••• L••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Oct 18, 2016 · San Francisco, Ca
- M••••• S•••••• wirehouseMay 18, 2015 to Apr 8, 2016 · Santa Rosa, Ca
- C•••••• S••••• • C••• I••• national BDDec 1, 2014 to Mar 4, 2015 · San Francisco, Ca
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Apr 8, 2016, registered Oct 18, 2016 (193 days) · Wirehouse to wirehouse · moved with a team
- C•••••• S••••• • C••• I••• to M••••• S••••••left Mar 4, 2015, registered May 18, 2015 (75 days) · Affiliated broker-dealer or bank to wirehouse
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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address