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.
L•••• A•• J•••• S•••••••
- W•••• F•••• A••••••• wirehouse currentsince Dec 2, 2021 · Carmel, Ca
- G••••• S•••• W••••• M••••••••• L•• independent RIASep 29, 2020 to Nov 22, 2021 · Salinas, Ca
- H•••••• S••••••••• I••• BD affiliatedApr 24, 2018 to Sep 25, 2020 · Monterey, Ca
- C•••••• S••••• • C••• I••• national BDNov 25, 2015 to Apr 16, 2018 · Carmel, Ca
- H•••••• • W•••••• I••••••••• S•••••••• L•• unclassifiedJul 8, 2013 to Oct 16, 2015 · Salinas, Ca
- F••••••• S••••••••• I••• formerFeb 27, 2012 to Nov 5, 2015 · Salinas, Ca
- U•• F•••••••• S••••••• I••• wirehouseOct 26, 2009 to May 23, 2011 · Carmel, Ca
- G••••• S•••• W••••• M••••••••• L•• to W•••• F•••• A•••••••left Nov 22, 2021, registered Dec 2, 2021 (10 days) · RIA to wirehouse
- H•••••• S••••••••• I••• to G••••• S•••• W••••• M••••••••• L••left Sep 25, 2020, registered Sep 29, 2020 (4 days) · Affiliated broker-dealer or bank to independent RIA
- C•••••• S••••• • C••• I••• to H•••••• S••••••••• I•••left Apr 16, 2018, registered Apr 24, 2018 (8 days) · Affiliated broker-dealer or bank to another
- F••••••• S••••••••• I••• to H•••••• • W•••••• I••••••••• S•••••••• L••left Nov 5, 2015, registered Jul 8, 2013 (-850 days) · Other
- H•••••• • W•••••• I••••••••• S•••••••• L•• to C•••••• S••••• • C••• I•••left Oct 16, 2015, registered Nov 25, 2015 (40 days) · Other
- U•• F•••••••• S••••••• I••• to F••••••• S••••••••• I•••left May 23, 2011, registered Feb 27, 2012 (280 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
- Wirehousederived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address