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.
P••• P•••• B••••••
- P••••••• A••••••• L•• independent RIA currentsince Apr 11, 2019 · San Luis Obispo, Ca
- B••••••• I••••••••• S•••••••• I••• ••••• formerAug 23, 2012 to Apr 27, 2017 · San Francisco, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 12, 2010 to Nov 30, 2010 · San Jose, Ca
- C••••• I••••••••• S••••••• L•• formerJun 20, 2008 to Jan 15, 2010 · Santa Barbara, Ca
- W•••• F•••• I••••••••• L•• unclassifiedAug 1, 2002 to Jul 5, 2006 · Carmel, Ca
- B••••••• I••••••••• S•••••••• I••• ••••• to P••••••• A••••••• L••left Apr 27, 2017, registered Apr 11, 2019 (714 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to B••••••• I••••••••• S•••••••• I••• •••••left Nov 30, 2010, registered Aug 23, 2012 (632 days) · Other
- C••••• I••••••••• S••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jan 15, 2010, registered Mar 12, 2010 (56 days) · Other
- W•••• F•••• I••••••••• L•• to C••••• I••••••••• S••••••• L••left Jul 5, 2006, registered Jun 20, 2008 (716 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
- Independent wealth managerderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address