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••••• N•• M•••••••••
- C•••••• W••••• A••••••• independent RIA currentsince May 17, 2012 · San Jose, Ca
- C•••••••• W••••• M••••••••• formerOct 19, 2010 to Aug 4, 2011 · An Ramon, Ca
- L•••••••• F••••••••• M••••••••• L•• independent RIAAug 18, 2010 to Jan 4, 2011 · Pleasant Hill, Ca
- D••••••••• W••••• M••••••••• independent RIAJan 15, 2003 to Aug 17, 2010 · Walnut Creek, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 14, 2000 to Jul 8, 2002 · Fremont, Ca
- C•••••••• W••••• M••••••••• to C•••••• W••••• A•••••••left Aug 4, 2011, registered May 17, 2012 (287 days) · Other
- L•••••••• F••••••••• M••••••••• L•• to C•••••••• W••••• M•••••••••left Jan 4, 2011, registered Oct 19, 2010 (-77 days) · Other
- D••••••••• W••••• M••••••••• to L•••••••• F••••••••• M••••••••• L••left Aug 17, 2010, registered Aug 18, 2010 (1 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to D••••••••• W••••• M•••••••••left Jul 8, 2002, registered Jan 15, 2003 (191 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address