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.
K•••• D• M•••• A•••••••
- O•••• W•••••• I••• BD affiliated currentsince Jan 19, 2024 · Novato, Ca
- W••••••• F•••••••• S•••••••• I••• formerApr 6, 2010 to Jan 19, 2024 · Culver City, Ca
- E•••••••• A•••••••• L•• national BDJun 4, 2008 to Apr 5, 2010 · San Francisco, Ca
- V••• F•••••••• P•••••••• L•• formerNov 18, 2002 to May 7, 2008 · San Jose, Ca
- W••••••• F•••••••• S•••••••• I••• to O•••• W•••••• I•••left Jan 19, 2024, registered Jan 19, 2024 (0 days) · corporate re-registration, not a move
- E•••••••• A•••••••• L•• to W••••••• F•••••••• S•••••••• I•••left Apr 5, 2010, registered Apr 6, 2010 (1 days) · Other
- V••• F•••••••• P•••••••• L•• to E•••••••• A•••••••• L••left May 7, 2008, registered Jun 4, 2008 (28 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address