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.
S•••• P•••••• H•••••••••
- M••••• S•••••• wirehouse currentsince Nov 9, 2010 · Cupertino, Ca
- U•• F•••••••• S••••••• I••• wirehouseJan 1, 2010 to Nov 12, 2010 · San Francisco, Ca
- U•• I••••••••• I••• unclassifiedJun 14, 2002 to Jan 1, 2010 · San Francisco, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 19, 1998 to Jun 17, 2002 · San Francisco, Ca
- U•• F•••••••• S••••••• I••• to M••••• S••••••left Nov 12, 2010, registered Nov 9, 2010 (-3 days) · Wirehouse to wirehouse
- U•• I••••••••• I••• to U•• F•••••••• S••••••• I•••left Jan 1, 2010, registered Jan 1, 2010 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• I••••••••• I•••left Jun 17, 2002, registered Jun 14, 2002 (-3 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
- Wirehousederived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address