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••••• M••••••• M••••
- M•••••• C•••• C•••••• P•••••••• I••• independent RIA currentsince Mar 6, 2020 · San Francisco, Ca
- M••••• S•••••• wirehouseNov 13, 2014 to Feb 4, 2020 · Oakland, Ca
- C•••••• S••••• • C••• I••• national BDAug 11, 2003 to Jun 22, 2004 · Walnut C••••, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 18, 1999 to Aug 1, 2003 · San Francisco, Ca
- M••••• S•••••• to M•••••• C•••• C•••••• P•••••••• I•••left Feb 4, 2020, registered Mar 6, 2020 (31 days) · Wirehouse to independent RIA
- C•••••• S••••• • C••• I••• to M••••• S••••••left Jun 22, 2004, registered Nov 13, 2014 (3796 days) · Affiliated broker-dealer or bank to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••• S••••• • C••• I•••left Aug 1, 2003, registered Aug 11, 2003 (10 days) · Wirehouse to affiliated broker-dealer or bank
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
- Independent wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address