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• B••••
- C••••••••• I••••••••• A•••••••• L•• independent RIA currentsince May 23, 2023 · Tampa, Fl
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedSep 27, 2019 to May 26, 2023 · Walnut Creek, Ca
- M•••••• A•••••• N•••••• BD affiliatedMay 1, 2017 to Sep 27, 2019 · Walnut Creek, Ca
- L•• F•••••••• L•• BD affiliatedMay 26, 2009 to Aug 21, 2017 · San Mateo, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 3, 2002 to May 27, 2009 · San Mateo, Ca
- M••••• S•••••• D• I••• unclassifiedFeb 1, 2001 to Jul 9, 2002 · San Mateo, Ca
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to C••••••••• I••••••••• A•••••••• L••left May 26, 2023, registered May 23, 2023 (-3 days) · corporate re-registration, not a move
- M•••••• A•••••• N•••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Sep 27, 2019, registered Sep 27, 2019 (0 days) · RIA to affiliated broker-dealer or bank · moved with a team
- L•• F•••••••• L•• to M•••••• A•••••• N••••••left Aug 21, 2017, registered May 1, 2017 (-112 days) · Other · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•• F•••••••• L••left May 27, 2009, registered May 26, 2009 (-1 days) · Other
- M••••• S•••••• D• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 9, 2002, registered Jul 3, 2002 (-6 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address