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••••• M• C••••••••
- U•• F•••••••• S••••••• I••• wirehouse currentsince Jul 20, 2021 · Redwood City, Ca
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2008 to Dec 4, 2009 · San Francisco, Ca
- J••• M••••• S••••••••• I••• unclassifiedFeb 6, 2007 to Oct 1, 2008 · New York, Ny
- J••• M••••• I••••••••• M••••••••• I••• asset managerJul 21, 2004 to Jan 22, 2007 · New York, Ny
- J••• M••••• S••••••••• L•• to U•• F•••••••• S••••••• I•••left Dec 4, 2009, registered Jul 20, 2021 (4246 days) · Wirehouse to wirehouse
- J••• M••••• S••••••••• I••• to J••• M••••• S••••••••• L••left Oct 1, 2008, registered Oct 1, 2008 (0 days) · corporate re-registration, not a move
- J••• M••••• I••••••••• M••••••••• I••• to J••• M••••• S••••••••• I•••left Jan 22, 2007, registered Feb 6, 2007 (15 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
- Wirehousederived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address