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.
J•••• P••• U••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Feb 5, 2024 · Greenwood Village, Co
- L•• F•••••••• L•• BD affiliatedMay 5, 2010 to Feb 12, 2024 · San Francisco, Ca
- M••••• S•••••• wirehouseJun 1, 2009 to May 7, 2010 · San Francisco, Ca
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · San Francisco, Ca
- M••••• S•••••• D• I••• unclassifiedApr 8, 2004 to Apr 2, 2007 · San Francisco, Ca
- U•• F•••••••• S••••••• I••• wirehouseJul 8, 1997 to Apr 22, 2004 · San Francisco, Ca
- L•• F•••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Feb 12, 2024, registered Feb 5, 2024 (-7 days) · Affiliated broker-dealer or bank to another
- M••••• S•••••• to L•• F•••••••• L••left May 7, 2010, registered May 5, 2010 (-2 days) · Other
- 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
- U•• F•••••••• S••••••• I••• to M••••• S•••••• D• I•••left Apr 22, 2004, registered Apr 8, 2004 (-14 days) · Other
- J•••• P••• U•••••• left L•• F•••••••• L•• for A••••••••• F•••••••• S•••••••• L•• (registered 2024-02-05)Feb 12, 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
- National broker-dealer RIAderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address