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.
M•••••• M••••••
- W•••• F•••• A••••••• wirehouse currentsince Mar 6, 2023 · Walnut Creek, Ca
- W•••• F•••• A••••••• wirehouseJul 15, 2011 to Mar 6, 2023 · Walnut Creek, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Jul 18, 2011 · Alamo, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedAug 25, 2003 to Oct 23, 2009 · Walnut Creek, Ca
- M••••• S•••••• D• I••• unclassifiedJul 8, 1997 to Sep 3, 2003 · Walnut Creek, Ca
- W•••• F•••• A••••••• to W•••• F•••• A•••••••left Mar 6, 2023, registered Mar 6, 2023 (0 days) · channel change inside one enterprise, not a move · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Jul 18, 2011, registered Jul 15, 2011 (-3 days) · Wirehouse to wirehouse
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Sep 3, 2003, registered Aug 25, 2003 (-9 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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address