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••••••• G••••••
- F••••••• F•••••••• S••••••••• L•• independent RIA currentsince Apr 7, 2014 · San Ramon, Ca
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedJan 6, 2012 to Apr 7, 2014 · San Jose, Ca
- I••••••••• A••••••• I••••••••• I••• unclassifiedJun 26, 2009 to Jan 6, 2012 · San Jose, Ca
- T••••••••• F•••••••• A•••••••• L•• to F••••••• F•••••••• S••••••••• L••left Apr 7, 2014, registered Apr 7, 2014 (0 days) · Other
- I••••••••• A••••••• I••••••••• I••• to T••••••••• F•••••••• A•••••••• L••left Jan 6, 2012, registered Jan 6, 2012 (0 days) · corporate re-registration, not a move
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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address