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.
S•••• M• F•••
- R•• C•••••• M••••••• L•• national BD currentsince Apr 26, 2023 · San Francisco, Ca
- J••• M••••• P•••••• W••••• A••••••• L•• formerSep 11, 2020 to May 18, 2023 · San Francisco, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Sep 15, 2020 · San Francisco, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedSep 22, 2000 to Oct 23, 2009 · San Francisco, Ca
- J••• M••••• P•••••• W••••• A••••••• L•• to R•• C•••••• M••••••• L••left May 18, 2023, registered Apr 26, 2023 (-22 days) · Affiliated broker-dealer or bank to another · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• P•••••• W••••• A••••••• L••left Sep 15, 2020, registered Sep 11, 2020 (-4 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
- S•••• M• F••• left J••• M••••• P•••••• W••••• A••••••• L•• for R•• C•••••• M••••••• L•• (registered 2023-04-26)May 18, 2023 · 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
- National broker-dealer RIAderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address