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.
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- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Apr 1, 2024 · San Jose, Ca
- R•••••• J•••• • A••••••••• I••• national BDMar 4, 2021 to Apr 2, 2024 · San Jose, Ca
- U••• B•••••• A•••••••• L•• BD affiliatedMar 31, 2009 to Mar 11, 2021 · Pleasanton, Ca
- W••• I••••••••• I••• unclassifiedSep 24, 2008 to Apr 7, 2009 · Palo Alto, Ca
- C••••••••• I••••••••• S•••••••• I••• unclassifiedSep 5, 2007 to Sep 4, 2008 · San Jose, Ca
- S••••••••• A•••••• A•••••••• I••• formerDec 12, 2003 to Sep 8, 2005 · Cedar Rapids, Ia
- W•••• F•••• I••••••••• L•• unclassifiedJun 28, 2001 to Oct 16, 2003 · Cedar Rapids, Ia
- R•••••• J•••• • A••••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Apr 2, 2024, registered Apr 1, 2024 (-1 days) · Affiliated broker-dealer or bank to another · moved with a team
- U••• B•••••• A•••••••• L•• to R•••••• J•••• • A••••••••• I•••left Mar 11, 2021, registered Mar 4, 2021 (-7 days) · Affiliated broker-dealer or bank to another · moved with a team
- W••• I••••••••• I••• to U••• B•••••• A•••••••• L••left Apr 7, 2009, registered Mar 31, 2009 (-7 days) · Other
- C••••••••• I••••••••• S•••••••• I••• to W••• I••••••••• I•••left Sep 4, 2008, registered Sep 24, 2008 (20 days) · Other
- S••••••••• A•••••• A•••••••• I••• to C••••••••• I••••••••• S•••••••• I•••left Sep 8, 2005, registered Sep 5, 2007 (727 days) · Other
- W•••• F•••• I••••••••• L•• to S••••••••• A•••••• A•••••••• I•••left Oct 16, 2003, registered Dec 12, 2003 (57 days) · Other
- V• H•••• N••••• left R•••••• J•••• • A••••••••• I••• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2024-04-01)Apr 2, 2024 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address