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.
S••••••• T•••• M••••
- C••• P•••••• W••••• A•••••••• I••• BD affiliated currentsince Feb 9, 2024 · San Francisco, Ca
- O•••• P•••••••• S••••••••• L•• BD affiliatedJan 26, 2023 to Jan 31, 2024 · Omaha, Ne
- O•••• P•••••••• S••••••••• L•• formerJan 19, 2022 to Jan 6, 2023 · Berwyn, Pa
- O•••• P•••••••• S••••••••• L•• BD affiliatedOct 19, 2020 to Dec 31, 2021 · Lafayette, Ca
- B•••••• C•••••• I•• formerApr 27, 2018 to Oct 16, 2020 · Lafayette, Ca
- M•• I•••••••• S•••••••• L•• BD affiliatedJan 25, 2018 to Apr 19, 2018 · Walnut Creek, Ca
- I•••••• A•••••••• I••• asset managerJun 7, 2010 to Jun 28, 2012 · Atlanta, Ga
- V•• K••••• A••••••• I•• unclassifiedApr 22, 2004 to Jun 3, 2010 · Lafayette, Ca
- O•••• P•••••••• S••••••••• L•• to C••• P•••••• W••••• A•••••••• I•••left Jan 31, 2024, registered Feb 9, 2024 (9 days) · Affiliated broker-dealer or bank to another
- O•••• P•••••••• S••••••••• L•• to O•••• P•••••••• S••••••••• L••left Jan 6, 2023, registered Jan 26, 2023 (20 days) · corporate re-registration, not a move
- O•••• P•••••••• S••••••••• L•• to O•••• P•••••••• S••••••••• L••left Dec 31, 2021, registered Jan 19, 2022 (19 days) · corporate re-registration, not a move
- B•••••• C•••••• I•• to O•••• P•••••••• S••••••••• L••left Oct 16, 2020, registered Oct 19, 2020 (3 days) · corporate re-registration, not a move
- M•• I•••••••• S•••••••• L•• to B•••••• C•••••• I••left Apr 19, 2018, registered Apr 27, 2018 (8 days) · Affiliated broker-dealer or bank to another
- I•••••• A•••••••• I••• to M•• I•••••••• S•••••••• L••left Jun 28, 2012, registered Jan 25, 2018 (2037 days) · Other
- V•• K••••• A••••••• I•• to I•••••• A•••••••• I•••left Jun 3, 2010, registered Jun 7, 2010 (4 days) · corporate re-registration, not a move
- S••••••• T•••• M•••• left O•••• P•••••••• S••••••••• L•• for C••• P•••••• W••••• A•••••••• I••• (registered 2024-02-09)Jan 31, 2024 · Advisor changed firm · fact
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address