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.
- S••••• G••••• C•••••• G•••• L•• former currentsince Jun 15, 2020 · San Jose, Ca
- P•••••• W••••• A••••••• G•••• formerApr 17, 2018 to Mar 26, 2020 · San Jose, Ca
- T• A••••••••• I••••••••• M••••••••• L•• formerApr 25, 2006 to Mar 13, 2018 · Cupertino, Ca
- T• A••••••••• I••• formerApr 14, 2004 to Mar 13, 2018 · Cupertino, Ca
- P•••••• W••••• A••••••• G•••• to S••••• G••••• C•••••• G•••• L••left Mar 26, 2020, registered Jun 15, 2020 (81 days) · RIA to a newly registered adviser
- T• A••••••••• I••••••••• M••••••••• L•• to P•••••• W••••• A••••••• G••••left Mar 13, 2018, registered Apr 17, 2018 (35 days) · RIA to RIA
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Mar 13, 2018, registered Apr 25, 2006 (-4340 days) · channel change inside one enterprise, not a move · moved with a team
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
- Former SEC-registered adviserderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address