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.
D•••• W•••••• S•••••
- M•• C•••••• M••••••••• L•• independent RIA currentsince Aug 12, 2022 · Lakeside, Mt
- B•• S•• A•••• M••••••••• L•• formerOct 7, 2013 to Mar 24, 2021 · San Ramon, Ca
- I•••••••• C•••••• L•• formerOct 30, 2002 to Aug 5, 2022 · San Ramon, Ca
- I•••••••• C•••••• L•• to B•• S•• A•••• M••••••••• L••left Aug 5, 2022, registered Oct 7, 2013 (-3224 days) · Other
- B•• S•• A•••• M••••••••• L•• to M•• C•••••• M••••••••• L••left Mar 24, 2021, registered Aug 12, 2022 (506 days) · Other
- D•••• W•••••• S••••• left I•••••••• C•••••• L•• for B•• S•• A•••• M••••••••• L•• (registered 2013-10-07)Aug 5, 2022 · 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
- Independent wealth managerderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address