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.
J••• W•••••• H••••
- F••••• R••••••••• S••••••• state registered currentsince Mar 13, 2007 · San Jose, Ca
- L•• F•••••••• L•• BD affiliatedFeb 7, 2012 to Mar 24, 2023 · San Jose, Ca
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedMar 20, 2006 to Mar 21, 2007 · San Jose, Ca
- L•• F•••••••• L•• to no registered destinationleft Mar 24, 2023 · Departure, no registered destination
- R•••••• J•••• F•••••••• S•••••••• I••• to F••••• R••••••••• S•••••••left Mar 21, 2007, registered Mar 13, 2007 (-8 days) · Other
- J••• W•••••• H•••• no longer registered at L•• F•••••••• L••; no later IA registration on IAPDMar 24, 2023 · Advisor departure · 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
- STATE REGISTEREDderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address