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.
T•••• D• L• M••• N•••••
- C•••••• S••••• • C••• I••• national BD currentsince Aug 22, 2023 · Stockton, Ca
- E•••••• C•••••• M••••••••• L•• formerFeb 19, 2020 to Jul 31, 2023 · Arlington, Va
- M••••• S•••••• wirehouseJun 1, 2009 to Feb 7, 2020 · San Francisco, Ca
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · San Francisco, Ca
- M••••• S•••••• D• I••• unclassifiedNov 2, 1998 to Apr 2, 2007 · San Francisco, Ca
- E•••••• C•••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Jul 31, 2023, registered Aug 22, 2023 (22 days) · RIA to affiliated broker-dealer or bank
- M••••• S•••••• to E•••••• C•••••• M••••••••• L••left Feb 7, 2020, registered Feb 19, 2020 (12 days) · channel change inside one enterprise, not a move
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- T•••• D• L• M••• N••••• left E•••••• C•••••• M••••••••• L•• for C•••••• S••••• • C••• I••• (registered 2023-08-22)Jul 31, 2023 · 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
- National broker-dealer RIAderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address