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.
K•••• L•••••
- R•••••••• S••••••• independent RIA currentsince Dec 1, 2021 · San Francisco, Ca
- W•••• F•••• A••••••• wirehouseSep 18, 2013 to Dec 10, 2021 · San Francisco, Ca
- D••••••• B••• S••••••••• I••• no RAUMOct 11, 2006 to Sep 24, 2013 · San Francisco, Ca
- N•••••••• B••••• B• L•• no RAUMFeb 18, 2003 to Oct 10, 2006 · San Francisco, Ca
- R•• R•••••••• L•• BD affiliatedJun 12, 2001 to Jan 21, 2003 · San Francisco, Ca
- W•••• F•••• A••••••• to R•••••••• S•••••••left Dec 10, 2021, registered Dec 1, 2021 (-9 days) · Wirehouse to independent RIA
- D••••••• B••• S••••••••• I••• to W•••• F•••• A•••••••left Sep 24, 2013, registered Sep 18, 2013 (-6 days) · Other
- N•••••••• B••••• B• L•• to D••••••• B••• S••••••••• I•••left Oct 10, 2006, registered Oct 11, 2006 (1 days) · Other
- R•• R•••••••• L•• to N•••••••• B••••• B• L••left Jan 21, 2003, registered Feb 18, 2003 (28 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
- Independent wealth managerderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address