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.
R••• D•••• A••••
- R•• S••••••••• I••• BD affiliated currentsince Apr 28, 2022 · Atherton, Ca
- R•• R•••••••• L•• BD affiliatedMay 23, 2018 to Apr 28, 2022 · San Francisco, Ca
- F••••• I••••••••• independent RIAAug 10, 2004 to Apr 25, 2018 · Woodside, Ca
- R•• R•••••••• L•• to R•• S••••••••• I•••left Apr 28, 2022, registered Apr 28, 2022 (0 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- F••••• I••••••••• to R•• R•••••••• L••left Apr 25, 2018, registered May 23, 2018 (28 days) · RIA to affiliated broker-dealer or bank
- R••• D•••• A•••• left R•• R•••••••• L•• for R•• S••••••••• I••• (registered 2022-04-28)Apr 28, 2022 · Advisor changed firm · fact
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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address