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.
L••• G•••• T•••
- U• C•••••• G••••• W••••• M••••••••• L•• state registered currentsince Feb 28, 2022 · San Francisco, Ca
- O••••••••• • C•• I••• BD affiliatedOct 24, 2017 to Feb 28, 2020 · San Francisco, Ca
- W••••••••• S••••••••• I••• unclassifiedSep 29, 2014 to Sep 15, 2016 · San Rafael, Ca
- R•• C•••••• M••••••• L•• national BDNov 7, 2006 to Jun 15, 2007 · San Francisco, Ca
- M••••• S•••••• D• I••• unclassifiedDec 10, 2003 to Jun 1, 2006 · San Francisc, Ca
- O••••••••• • C•• I••• to U• C•••••• G••••• W••••• M••••••••• L••left Feb 28, 2020, registered Feb 28, 2022 (731 days) · Affiliated broker-dealer or bank to a state-registered adviser
- W••••••••• S••••••••• I••• to O••••••••• • C•• I•••left Sep 15, 2016, registered Oct 24, 2017 (404 days) · Other
- R•• C•••••• M••••••• L•• to W••••••••• S••••••••• I•••left Jun 15, 2007, registered Sep 29, 2014 (2663 days) · Other
- M••••• S•••••• D• I••• to R•• C•••••• M••••••• L••left Jun 1, 2006, registered Nov 7, 2006 (159 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
- STATE REGISTEREDderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address