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.
B•••• T••••• C•••••
- U•• F•••••••• S••••••• I••• wirehouse currentsince Jan 29, 2021 · Walnut Creek, Ca
- J••• M••••• P•••••• W••••• A••••••• L•• formerDec 18, 2013 to Feb 1, 2021 · San Francisco, Ca
- A••••• F•••••••• G••••• L•• formerMar 14, 2008 to Dec 17, 2013 · Carmel, Ca
- W•••• F•••• I••••••••• L•• unclassifiedAug 27, 2002 to Mar 18, 2008 · Carmel, Ca
- J••• M••••• P•••••• W••••• A••••••• L•• to U•• F•••••••• S••••••• I•••left Feb 1, 2021, registered Jan 29, 2021 (-3 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- A••••• F•••••••• G••••• L•• to J••• M••••• P•••••• W••••• A••••••• L••left Dec 17, 2013, registered Dec 18, 2013 (1 days) · Other
- W•••• F•••• I••••••••• L•• to A••••• F•••••••• G••••• L••left Mar 18, 2008, registered Mar 14, 2008 (-4 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