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.
G•••••• C•••••• O••••••••
- I••••••••• F•••••••• G••••• L•• BD affiliated currentsince Jan 13, 2017 · San Rafael, Ca
- O•••••••• F•••••••• S•••••••• L•• i••••••••• wealth currentsince Mar 19, 2015 · San Rafael, Ca
- S••••••••• A•••••• A•••••••• I••• formerMay 14, 2013 to Nov 16, 2015 · Larkspur, Ca
- F•••••••• T••••••• I••• formerMay 26, 2009 to May 14, 2013 · San Rafael, Ca
- L•••••• W••••• M••••••••• L•• formerMay 23, 2008 to May 28, 2009 · Oakland, Ca
- O•••• W•••••• I••• BD affiliatedJul 11, 2000 to May 21, 2008 · Larkspur, Ca
- S••••••• F•••••••• S•••••••• I••• unclassifiedMar 9, 2000 to Mar 17, 2009 · Larkspur, Ca
- S••••••••• A•••••• A•••••••• I••• to O•••••••• F•••••••• S•••••••• L••left Nov 16, 2015, registered Mar 19, 2015 (-242 days) · Other · moved with a team
- F•••••••• T••••••• I••• to S••••••••• A•••••• A•••••••• I•••left May 14, 2013, registered May 14, 2013 (0 days) · Other
- L•••••• W••••• M••••••••• L•• to F•••••••• T••••••• I•••left May 28, 2009, registered May 26, 2009 (-2 days) · Other
- S••••••• F•••••••• S•••••••• I••• to O•••• W•••••• I•••left Mar 17, 2009, registered Jul 11, 2000 (-3171 days) · Other
- O•••• W•••••• I••• to L•••••• W••••• M••••••••• L••left May 21, 2008, registered May 23, 2008 (2 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
- Independent wealth managerderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address