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.
D•••• N••••• D•••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Jan 10, 2023 · Walnut Creek, Ca
- O••••••••• • C•• I••• BD affiliatedJan 16, 2007 to Jan 13, 2023 · San Francisco, Ca
- W•••• F•••• A••••••• wirehouseMay 13, 2003 to Jan 16, 2007 · San Francisco, Ca
- O••••••••• • C•• I••• to R•••••• J•••• • A••••••••• I•••left Jan 13, 2023, registered Jan 10, 2023 (-3 days) · Affiliated broker-dealer or bank to another · moved with a team
- W•••• F•••• A••••••• to O••••••••• • C•• I•••left Jan 16, 2007, registered Jan 16, 2007 (0 days) · Other
- D•••• N••••• D••• left O••••••••• • C•• I••• for R•••••• J•••• • A••••••••• I••• (registered 2023-01-10)Jan 13, 2023 · 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
- National broker-dealer RIAderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address