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••••• M••••• C•••••
- D•••••••• A••••••• S•••••••• L•• BD affiliated currentsince Dec 19, 2023 · Winnetka, Il
- F•••• A••••• A••••••• S•••••••• I••• formerJul 28, 2010 to Mar 11, 2019 · Portola Valley, Ca
- G•••••••• I••••••••• M••••••••• I••• unclassifiedOct 7, 2004 to Oct 7, 2010 · Redwood City, Ca
- X•••• F•••••••• P•••••••• I••• unclassifiedJan 13, 2003 to Dec 31, 2004 · Redwood City, Ca
- X•••• I••••••••• S•••••••• I••• unclassifiedDec 28, 2001 to Jan 15, 2003 · Menlo Park, Ca
- F•••• A••••• A••••••• S•••••••• I••• to D•••••••• A••••••• S•••••••• L••left Mar 11, 2019, registered Dec 19, 2023 (1744 days) · Affiliated broker-dealer or bank to another
- G•••••••• I••••••••• M••••••••• I••• to F•••• A••••• A••••••• S•••••••• I•••left Oct 7, 2010, registered Jul 28, 2010 (-71 days) · Other
- X•••• F•••••••• P•••••••• I••• to G•••••••• I••••••••• M••••••••• I•••left Dec 31, 2004, registered Oct 7, 2004 (-85 days) · Other
- X•••• I••••••••• S•••••••• I••• to X•••• F•••••••• P•••••••• I•••left Jan 15, 2003, registered Jan 13, 2003 (-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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address