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.
C•••• T••• Y• L••••
- O•••• W•••••• I••• BD affiliated currentsince Nov 3, 2023 · San Francisco, Ca
- F•• S••••••••• C••••••••• formerMay 12, 2016 to Nov 3, 2023 · Daly City, Ca
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Apr 22, 2016 · San Francisco, Ca
- C•••• I••••••••• S••••••• C•••• formerJun 19, 2009 to Oct 1, 2012 · San Francisco, Ca
- W•••• F•••• A••••••• wirehouseOct 24, 2008 to Jun 3, 2009 · Oakland, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 29, 2007 to Oct 30, 2008 · San Francisco, Ca
- C••••••• I••••••••• S••••••• unclassifiedNov 28, 2006 to May 29, 2007 · San Francisco, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 10, 2006 to Oct 27, 2006 · San Francisco, Ca
- F•• S••••••••• C••••••••• to O•••• W•••••• I•••left Nov 3, 2023, registered Nov 3, 2023 (0 days) · corporate re-registration, not a move
- J••• M••••• S••••••••• L•• to F•• S••••••••• C•••••••••left Apr 22, 2016, registered May 12, 2016 (20 days) · Other
- 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
- W•••• F•••• A••••••• to C•••• I••••••••• S••••••• C••••left Jun 3, 2009, registered Jun 19, 2009 (16 days) · Other
- C•••••••• G••••• M•••••• I••• to W•••• F•••• A•••••••left Oct 30, 2008, registered Oct 24, 2008 (-6 days) · Other
- C••••••• I••••••••• S••••••• to C•••••••• G••••• M•••••• I•••left May 29, 2007, registered May 29, 2007 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••••••• I••••••••• S•••••••left Oct 27, 2006, registered Nov 28, 2006 (32 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address