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.
N••••• A•••
- J••• M••••• S••••••••• L•• wirehouse currentsince Sep 9, 2016 · Antioch, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 15, 2013 to Sep 8, 2016 · San Leandro, Ca
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedApr 7, 2010 to Apr 29, 2010 · Pinole, Ca
- N••••••••• S••••••••• L•• no RAUMNov 3, 2008 to Dec 19, 2008 · Walnut Creek, Ca
- R•• C•••••• M••••••• L•• national BDMar 7, 2005 to Nov 22, 2006 · Walnut Creek, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDJan 3, 2004 to Aug 20, 2004 · Walnut Creek, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• S••••••••• L••left Sep 8, 2016, registered Sep 9, 2016 (1 days) · Wirehouse to wirehouse · moved with a team
- T••••••••• F•••••••• A•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Apr 29, 2010, registered Jan 15, 2013 (992 days) · Other
- N••••••••• S••••••••• L•• to T••••••••• F•••••••• A•••••••• L••left Dec 19, 2008, registered Apr 7, 2010 (474 days) · Other
- R•• C•••••• M••••••• L•• to N••••••••• S••••••••• L••left Nov 22, 2006, registered Nov 3, 2008 (712 days) · Affiliated broker-dealer or bank to a newly registered adviser
- A••••••••• F•••••••• S•••••••• L•• to R•• C•••••• M••••••• L••left Aug 20, 2004, registered Mar 7, 2005 (199 days) · Affiliated broker-dealer or bank to another
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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address