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 Feb 9, 2022 · San Jose, Ca
- U•• F•••••••• S••••••• I••• wirehouseJun 28, 2017 to Jan 10, 2022 · San Jose, Ca
- W•••• F•••• A••••••• wirehouseAug 7, 2015 to Feb 22, 2017 · San Jose, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 24, 2012 to Feb 28, 2014 · Schaumburg, Il
- R•• C•••••• M••••••• L•• national BDSep 5, 2007 to Apr 13, 2012 · Buffalo Grove, Il
- B•• H••••• F•••••••• A•••••••• I•• formerApr 16, 2007 to Sep 14, 2007 · Buffalo Grove, Il
- U•• F•••••••• S••••••• I••• to M••••• S••••••left Jan 10, 2022, registered Feb 9, 2022 (30 days) · Wirehouse to wirehouse
- W•••• F•••• A••••••• to U•• F•••••••• S••••••• I•••left Feb 22, 2017, registered Jun 28, 2017 (126 days) · Wirehouse to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Feb 28, 2014, registered Aug 7, 2015 (525 days) · Wirehouse to wirehouse
- R•• C•••••• M••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Apr 13, 2012, registered Apr 24, 2012 (11 days) · Affiliated broker-dealer or bank to wirehouse
- B•• H••••• F•••••••• A•••••••• I•• to R•• C•••••• M••••••• L••left Sep 14, 2007, registered Sep 5, 2007 (-9 days) · Other
- S••••• V•••• B••••• left U•• F•••••••• S••••••• I••• for M••••• S•••••• (registered 2022-02-09)Jan 10, 2022 · Advisor changed firm · fact
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