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.
H•••• K• P••
- W•••• F•••• A••••••• wirehouse currentsince Aug 13, 2012 · Mill Valley, Ca
- B••••••• I••••••••• S•••••••• I••• ••••• formerDec 16, 2003 to Aug 28, 2012 · Fremont, Ca
- C••••••• I••••••••• S••••••• unclassifiedApr 16, 2003 to Dec 17, 2003 · San Leandro, Ca
- M••••• S•••••• D• I••• unclassifiedAug 24, 1998 to Apr 10, 2003 · Oakland, Ca
- B••••••• I••••••••• S•••••••• I••• ••••• to W•••• F•••• A•••••••left Aug 28, 2012, registered Aug 13, 2012 (-15 days) · Other
- C••••••• I••••••••• S••••••• to B••••••• I••••••••• S•••••••• I••• •••••left Dec 17, 2003, registered Dec 16, 2003 (-1 days) · Other
- M••••• S•••••• D• I••• to C••••••• I••••••••• S•••••••left Apr 10, 2003, registered Apr 16, 2003 (6 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
- Wirehousederived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address