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.
P•••• D•••••• M•••••
- F••••••• W••••• A•••••••• L•• independent RIA currentsince Sep 27, 2022 · San Jose, Ca
- F••••• W••••• C••••••••• I••• former currentsince Aug 3, 2005 · San Jose, Ca
- N•• A•••••• S•••••••• L•• formerSep 12, 2003 to Aug 3, 2005 · San Jose, Ca
- F••••• W••••• C••••••••• I••• unclassifiedFeb 18, 1999 to Sep 9, 2003 · San Jose, Ca
- N•• A•••••• S•••••••• L•• to F••••• W••••• C••••••••• I•••left Aug 3, 2005, registered Aug 3, 2005 (0 days) · Other
- F••••• W••••• C••••••••• I••• to N•• A•••••• S•••••••• L••left Sep 9, 2003, registered Sep 12, 2003 (3 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
- Former SEC-registered adviserderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address