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.
R•••••• O•••• Y••••••
- C••• P•••••• W••••• A•••••••• I••• BD affiliated currentsince Jul 18, 2022 · San Francisco, Ca
- I•••••• C•••••• R••••••• • M••••••••• I•• formerJan 21, 2011 to Aug 28, 2017 · Moraga, Ca
- M•••••• C•••• C•••••• P•••••••• I••• independent RIAJan 19, 2010 to Jan 18, 2011 · Walnut C••••, Ca
- I•••••• C•••••• R••••••• • M••••••••• I•• formerMay 24, 2005 to Apr 20, 2009 · Walnut C••••, Ca
- I•••••• C•••••• R••••••• • M••••••••• I•• to C••• P•••••• W••••• A•••••••• I•••left Aug 28, 2017, registered Jul 18, 2022 (1785 days) · Other
- M•••••• C•••• C•••••• P•••••••• I••• to I•••••• C•••••• R••••••• • M••••••••• I••left Jan 18, 2011, registered Jan 21, 2011 (3 days) · Other
- I•••••• C•••••• R••••••• • M••••••••• I•• to M•••••• C•••• C•••••• P•••••••• I•••left Apr 20, 2009, registered Jan 19, 2010 (274 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address