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•••••• G••• K••••••••
- K•••••••• W••••• M••••••••• L•• independent RIA currentsince Nov 8, 2018 · Mountain View, Ca
- W•••• F•••• A••••••• wirehouseNov 30, 2011 to Nov 14, 2018 · Palo Alto, Ca
- U••• B•••••• I••••••••• I••• formerJan 12, 2010 to Nov 30, 2011 · San Jose, Ca
- C•••• I••••••••• S••••••• C•••• formerMay 2, 2009 to Jan 11, 2010 · Los Gatos, Ca
- W••• I••••••••• I••• unclassifiedSep 13, 2006 to May 2, 2009 · Los Gatos, Ca
- C•••••• S••••• • C••• I••• national BDJun 8, 2004 to Jun 30, 2006 · Campbell, Ca
- U•• F•••••••• S••••••• I••• wirehouseFeb 14, 2003 to May 26, 2004 · Palo Alto, Ca
- W•••• F•••• A••••••• to K•••••••• W••••• M••••••••• L••left Nov 14, 2018, registered Nov 8, 2018 (-6 days) · Wirehouse to independent RIA
- U••• B•••••• I••••••••• I••• to W•••• F•••• A•••••••left Nov 30, 2011, registered Nov 30, 2011 (0 days) · Other
- C•••• I••••••••• S••••••• C•••• to U••• B•••••• I••••••••• I•••left Jan 11, 2010, registered Jan 12, 2010 (1 days) · Other
- W••• I••••••••• I••• to C•••• I••••••••• S••••••• C••••left May 2, 2009, registered May 2, 2009 (0 days) · corporate re-registration, not a move
- C•••••• S••••• • C••• I••• to W••• I••••••••• I•••left Jun 30, 2006, registered Sep 13, 2006 (75 days) · Other
- U•• F•••••••• S••••••• I••• to C•••••• S••••• • C••• I•••left May 26, 2004, registered Jun 8, 2004 (13 days) · Wirehouse to affiliated broker-dealer or bank
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