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•••••• P•••• E••
- I••••••••• F•••••••• G••••• L•• BD affiliated currentsince Jul 10, 2020 · San Francisco, Ca
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Jul 7, 2020 · Berkeley, Ca
- W•••• F•••• I••••••••• L•• unclassifiedMay 27, 2005 to Jan 3, 2011 · Berkeley, Ca
- W••••• F•••••••• S•••••••• L•• formerNov 4, 2004 to Feb 15, 2005 · Santa Clara, Ca
- C••• F•••••••• S•••••••• L••• formerSep 10, 2003 to Nov 3, 2004 · Santa Clara, Ca
- C••••••• I••••••••• S••••••• unclassifiedMar 7, 2003 to Jul 8, 2003 · San Francisco, Ca
- W•••• F•••• A••••••• to I••••••••• F•••••••• G••••• L••left Jul 7, 2020, registered Jul 10, 2020 (3 days) · Wirehouse to independent RIA
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- W••••• F•••••••• S•••••••• L•• to W•••• F•••• I••••••••• L••left Feb 15, 2005, registered May 27, 2005 (101 days) · Other
- C••• F•••••••• S•••••••• L••• to W••••• F•••••••• S•••••••• L••left Nov 3, 2004, registered Nov 4, 2004 (1 days) · Other
- C••••••• I••••••••• S••••••• to C••• F•••••••• S•••••••• L•••left Jul 8, 2003, registered Sep 10, 2003 (64 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address