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••• R••••• B•••••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Nov 22, 2023 · San Francisco, Ca
- M••••• S•••••• I••••••••• A••••••• I••• unclassifiedDec 15, 2006 to Feb 19, 2009 · San Francisco, Ca
- P•••• S•••••• • C•• institutionalJun 14, 2004 to Apr 1, 2005 · San Francisco, Ca
- B••• O• A•••••• S••••••••• L•• unclassifiedJul 19, 1999 to Jul 31, 2003 · San Francisco, Ca
- M••••• S•••••• I••••••••• A••••••• I••• to J••• M••••• S••••••••• L••left Feb 19, 2009, registered Nov 22, 2023 (5389 days) · Other
- P•••• S•••••• • C•• to M••••• S•••••• I••••••••• A••••••• I•••left Apr 1, 2005, registered Dec 15, 2006 (623 days) · Other
- B••• O• A•••••• S••••••••• L•• to P•••• S•••••• • C••left Jul 31, 2003, registered Jun 14, 2004 (319 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