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••••••• C•••••
- W•••• F•••• A••••••• wirehouse currentsince Feb 2, 2024 · Reno, Nv
- W•••• F•••• A••••••• wirehouseMay 17, 2016 to Feb 2, 2024 · San Luis Obispo, Ca
- M••••• S•••••• wirehouseJun 1, 2009 to Jun 13, 2016 · San Luis Obispo, Ca
- M••••• S•••••• • C•• L•• unclassifiedApr 13, 2009 to Jun 1, 2009 · San Luis Obispo, Ca
- W•••• F•••• I••••••••• L•• unclassifiedFeb 20, 2003 to Apr 22, 2009 · San Luis Obispo, Ca
- C••••• I••••••••• S••••••• L•• formerAug 20, 2002 to Feb 3, 2003 · San Luis Obispo, Ca
- W•••• F•••• I••••••••• L•• unclassifiedMay 15, 2001 to Aug 21, 2002 · San Luis Obispo, Ca
- W•••• F•••• A••••••• to W•••• F•••• A•••••••left Feb 2, 2024, registered Feb 2, 2024 (0 days) · channel change inside one enterprise, not a move · moved with a team
- M••••• S•••••• to W•••• F•••• A•••••••left Jun 13, 2016, registered May 17, 2016 (-27 days) · Wirehouse to wirehouse · moved with a team
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- W•••• F•••• I••••••••• L•• to M••••• S•••••• • C•• L••left Apr 22, 2009, registered Apr 13, 2009 (-9 days) · Other
- C••••• I••••••••• S••••••• L•• to W•••• F•••• I••••••••• L••left Feb 3, 2003, registered Feb 20, 2003 (17 days) · Other
- W•••• F•••• I••••••••• L•• to C••••• I••••••••• S••••••• L••left Aug 21, 2002, registered Aug 20, 2002 (-1 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address