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.
M•••••• E••• T•••••
- L•• F•••••••• L•• BD affiliated currentsince Aug 19, 2024 · Santa Rosa, Ca
- C••••••••• F•••••••• N•••••• national BDJul 30, 2015 to Aug 20, 2024 · San Ramon, Ca
- F•• S••••••••• C••••••••• formerJan 25, 2012 to Jul 31, 2015 · San Ramon, Ca
- T•• R••••••••• G••••• L•• formerMar 31, 2011 to Aug 19, 2015 · San Diego, Ca
- Q•• F•••••••• L•• unclassifiedMar 30, 2007 to Feb 11, 2011 · Walnut Creek, Ca
- T••••• W••••• M••••••••• unclassifiedApr 26, 2006 to Jun 9, 2007 · Walnut Creek, Ca
- T•• A•••••••• I••• BD affiliatedAug 5, 2005 to Aug 7, 2006 · Walnut Creek, Ca
- C••••••••• F•••••••• N•••••• to L•• F•••••••• L••left Aug 20, 2024, registered Aug 19, 2024 (-1 days) · Affiliated broker-dealer or bank to another · moved with a team
- T•• R••••••••• G••••• L•• to F•• S••••••••• C•••••••••left Aug 19, 2015, registered Jan 25, 2012 (-1302 days) · Other
- F•• S••••••••• C••••••••• to C••••••••• F•••••••• N••••••left Jul 31, 2015, registered Jul 30, 2015 (-1 days) · Other
- Q•• F•••••••• L•• to T•• R••••••••• G••••• L••left Feb 11, 2011, registered Mar 31, 2011 (48 days) · Other
- T••••• W••••• M••••••••• to Q•• F•••••••• L••left Jun 9, 2007, registered Mar 30, 2007 (-71 days) · Other
- T•• A•••••••• I••• to T••••• W••••• M•••••••••left Aug 7, 2006, registered Apr 26, 2006 (-103 days) · Other
- M•••••• E••• T••••• left C••••••••• F•••••••• N•••••• for L•• F•••••••• L•• (registered 2024-08-19)Aug 20, 2024 · Advisor changed firm · fact
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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address