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.
C••••• H••• C••••
- U•• F•••••••• S••••••• I••• wirehouse currentsince Jan 1, 2010 · Palo Alto, Ca
- U•• I••••••••• I••• unclassifiedJan 3, 2007 to Jan 1, 2010 · San Diego, Ca
- U•• F•••••••• S••••••• I••• wirehouseNov 6, 1998 to Jan 5, 2007 · San Diego, Ca
- U•• I••••••••• I••• to U•• F•••••••• S••••••• I•••left Jan 1, 2010, registered Jan 1, 2010 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to U•• I••••••••• I•••left Jan 5, 2007, registered Jan 3, 2007 (-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
- Wirehousederived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address