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.
A••• A••••• A••••••••
- W•••• F•••• A••••••• wirehouse currentsince Dec 17, 2014 · Santa Rosa, Ca
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Jan 5, 2015 · Suisun City, Ca
- C•••• I••••••••• S••••••• C•••• formerJan 10, 2011 to Oct 1, 2012 · Fairfield, Ca
- F•••• A••••• S••••••••• I••• formerJun 29, 2009 to Jan 12, 2010 · Woodland, Ca
- L•• F•••••••• L•• BD affiliatedFeb 15, 2008 to Jul 7, 2009 · Walnut Creek, Ca
- C•••••• S••••• • C••• I••• national BDMar 3, 2005 to Feb 27, 2008 · Walnut Creek, Ca
- A••••••••• A•••••• S•••••••• I••• unclassifiedAug 1, 2003 to Feb 24, 2005 · Walnut Creek, Ca
- J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••left Jan 5, 2015, registered Dec 17, 2014 (-19 days) · Wirehouse to wirehouse · moved with a team
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- F•••• A••••• S••••••••• I••• to C•••• I••••••••• S••••••• C••••left Jan 12, 2010, registered Jan 10, 2011 (363 days) · Other
- L•• F•••••••• L•• to F•••• A••••• S••••••••• I•••left Jul 7, 2009, registered Jun 29, 2009 (-8 days) · Other
- C•••••• S••••• • C••• I••• to L•• F•••••••• L••left Feb 27, 2008, registered Feb 15, 2008 (-12 days) · Other
- A••••••••• A•••••• S•••••••• I••• to C•••••• S••••• • C••• I•••left Feb 24, 2005, registered Mar 3, 2005 (7 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