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.
C••• F•••••••• W•••••
- E••••• A•••••••• L•• state registered currentsince Feb 8, 2019 · Zepher Cove, Nv
- C•••••••• F••••••••• I••• BD affiliatedApr 25, 2016 to Mar 29, 2019 · San Jose, Ca
- C••••••• A•••• M••••••••• L•• BD affiliatedMar 13, 2015 to Apr 27, 2016 · San Jose, Ca
- J• P• T••••• • C•••••• C•••••• M••••••••• L•• formerJul 7, 2009 to Mar 23, 2015 · Aptos, Ca
- C•••••••• F••••••••• I••• to E••••• A•••••••• L••left Mar 29, 2019, registered Feb 8, 2019 (-49 days) · Affiliated broker-dealer or bank to a state-registered adviser
- C••••••• A•••• M••••••••• L•• to C•••••••• F••••••••• I•••left Apr 27, 2016, registered Apr 25, 2016 (-2 days) · Other
- J• P• T••••• • C•••••• C•••••• M••••••••• L•• to C••••••• A•••• M••••••••• L••left Mar 23, 2015, registered Mar 13, 2015 (-10 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
- STATE REGISTEREDderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address