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.
M••• M••• M•
- M•••• W••••• P••••••• state registered currentsince Jun 29, 2023 · San Mateo, Ca
- A••••• P••••••• A••••••••• I••• formerFeb 9, 2016 to Nov 9, 2023 · Walnut Creek, Ca
- L•• F•••••••• L•• BD affiliatedSep 8, 2009 to Jan 14, 2016 · San Mateo, Ca
- A••••••••• S••••••••• C•••• unclassifiedDec 17, 2008 to Sep 8, 2009 · Boston, Ma
- S•••••••• W••••• A••••••• G•••• formerSep 17, 2008 to Dec 11, 2009 · San Mateo, Ca
- F•• S••••••••• C••••••••• formerApr 14, 2008 to Dec 31, 2008 · San Mateo, Ca
- P•••••••• I•••••••• O• A•••••• formerMar 22, 2000 to Apr 14, 2008 · San Francisco, Ca
- A••••• P••••••• A••••••••• I••• to M•••• W••••• P•••••••left Nov 9, 2023, registered Jun 29, 2023 (-133 days) · RIA to a state-registered adviser
- L•• F•••••••• L•• to A••••• P••••••• A••••••••• I•••left Jan 14, 2016, registered Feb 9, 2016 (26 days) · Other
- S•••••••• W••••• A••••••• G•••• to A••••••••• S••••••••• C••••left Dec 11, 2009, registered Dec 17, 2008 (-359 days) · Other
- A••••••••• S••••••••• C•••• to L•• F•••••••• L••left Sep 8, 2009, registered Sep 8, 2009 (0 days) · Other
- F•• S••••••••• C••••••••• to S•••••••• W••••• A••••••• G••••left Dec 31, 2008, registered Sep 17, 2008 (-105 days) · Other
- P•••••••• I•••••••• O• A•••••• to F•• S••••••••• C•••••••••left Apr 14, 2008, registered Apr 14, 2008 (0 days) · Other
- M••• M••• M• left A••••• P••••••• A••••••••• I••• for M•••• W••••• P••••••• (registered 2023-06-29)Nov 9, 2023 · 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
- STATE REGISTEREDderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address