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.
- M••••• S•••••• wirehouse currentsince Dec 3, 2021 · Cupertino, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 18, 2012 to Dec 6, 2021 · San Antonio, Tx
- C•••• I••••••••• S••••••• C•••• formerApr 16, 2010 to Mar 2, 2012 · Scotts Valley, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Mar 24, 2010 · San Jose, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedJan 14, 2005 to Oct 23, 2009 · San Jose, Ca
- C••••••• S••••••••• formerMar 11, 2003 to Dec 15, 2004 · San Jose, Ca
- U•• F•••••••• S••••••• I••• wirehouseSep 20, 2001 to Feb 26, 2003 · San Jose, Ca
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Dec 6, 2021, registered Dec 3, 2021 (-3 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- C•••• I••••••••• S••••••• C•••• to C•••••••• G••••• M•••••• I•••left Mar 2, 2012, registered May 18, 2012 (77 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••• I••••••••• S••••••• C••••left Mar 24, 2010, registered Apr 16, 2010 (23 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
- C••••••• S••••••••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Dec 15, 2004, registered Jan 14, 2005 (30 days) · Other
- U•• F•••••••• S••••••• I••• to C••••••• S•••••••••left Feb 26, 2003, registered Mar 11, 2003 (13 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address