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.
D••••• L••••
- W•••• F•••• A••••••• wirehouse currentsince Jan 29, 2024 · San Carlos, Ca
- J••• M••••• S••••••••• L•• wirehouseOct 15, 2018 to Jan 27, 2024 · San Mateo, Ca
- P•••• S••••••••• L•• no RAUMFeb 10, 2003 to Jul 10, 2003 · San Francisco, Ca
- P••• I••••••••• L•• asset managerMay 24, 2002 to Jan 30, 2003 · San Francisco, Ca
- J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••left Jan 27, 2024, registered Jan 29, 2024 (2 days) · Wirehouse to wirehouse · moved with a team
- P•••• S••••••••• L•• to J••• M••••• S••••••••• L••left Jul 10, 2003, registered Oct 15, 2018 (5576 days) · Other
- P••• I••••••••• L•• to P•••• S••••••••• L••left Jan 30, 2003, registered Feb 10, 2003 (11 days) · Other
- D••••• L•••• left J••• M••••• S••••••••• L•• for W•••• F•••• A••••••• (registered 2024-01-29)Jan 27, 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
- Wirehousederived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address