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.
R••••• V•••••• C•••••••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Sep 30, 2020 · Ladera Ranch, Ca
- U••• B•••••• A•••••••• L•• BD affiliatedSep 12, 2018 to Sep 8, 2020 · Irvine, Ca
- J••• M••••• S••••••••• L•• wirehouseNov 29, 2013 to Aug 29, 2018 · Seattle, Wa
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Sep 10, 2013 · Minneapolis, Mn
- W•••• F•••• I••••••••• L•• unclassifiedMar 20, 2006 to Jan 3, 2011 · Seattle, Wa
- W•••• F•••• I••••••••• L•• unclassifiedMar 22, 2005 to May 12, 2005 · Oakland, Ca
- U••• B•••••• A•••••••• L•• to J••• M••••• S••••••••• L••left Sep 8, 2020, registered Sep 30, 2020 (22 days) · Affiliated broker-dealer or bank to wirehouse
- J••• M••••• S••••••••• L•• to U••• B•••••• A•••••••• L••left Aug 29, 2018, registered Sep 12, 2018 (14 days) · Wirehouse to affiliated broker-dealer or bank
- W•••• F•••• A••••••• to J••• M••••• S••••••••• L••left Sep 10, 2013, registered Nov 29, 2013 (80 days) · Wirehouse to wirehouse
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address