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.
J••••••• G•••••
- W•••• F•••• A••••••• wirehouse currentsince Aug 19, 2021 · Roseville, Ca
- P•••• S••••••••• L•• no RAUMMay 19, 2021 to Aug 13, 2021 · Mercer Island, Wa
- W•••••• • R••• formerSep 13, 2019 to May 14, 2021 · Savage, Mn
- V••••• F•••••••• M••••••••• I••• BD affiliatedApr 28, 2016 to Dec 20, 2018 · Los Angeles, Ca
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Apr 18, 2016 · Los Angeles, Ca
- C•••• I••••••••• S••••••• C•••• formerMay 14, 2009 to Oct 1, 2012 · Los Angeles, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedOct 7, 2008 to Apr 3, 2009 · Pasadena, Ca
- P•••• S••••••••• L•• to W•••• F•••• A•••••••left Aug 13, 2021, registered Aug 19, 2021 (6 days) · Affiliated broker-dealer or bank to wirehouse
- W•••••• • R••• to P•••• S••••••••• L••left May 14, 2021, registered May 19, 2021 (5 days) · Affiliated broker-dealer or bank to another
- V••••• F•••••••• M••••••••• I••• to W•••••• • R•••left Dec 20, 2018, registered Sep 13, 2019 (267 days) · Affiliated broker-dealer or bank to another
- J••• M••••• S••••••••• L•• to V••••• F•••••••• M••••••••• I•••left Apr 18, 2016, registered Apr 28, 2016 (10 days) · Wirehouse to affiliated broker-dealer or bank
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- B••• O• A•••••• I••••••••• S•••••••• I••• to C•••• I••••••••• S••••••• C••••left Apr 3, 2009, registered May 14, 2009 (41 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