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.
R•••••• H• C•••
- W•••• F•••• A••••••• wirehouse currentsince Nov 8, 2013 · Fresno, Ca
- B••••••• C•••••• I••• formerFeb 13, 2013 to Oct 11, 2013 · San Francisco, Ca
- W•••• F•••• A••••••• wirehouseJul 27, 2011 to Feb 8, 2013 · San Jose, Ca
- D••••••• B••• S••••••••• I••• no RAUMJan 19, 2011 to Jul 21, 2011 · San Francisco, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 19, 2010 to Dec 23, 2010 · San Francisco, Ca
- U•••• S••••• G••••• W••••• M••••••••• mixed wealthApr 9, 2010 to Aug 12, 2010 · San Francisco, Ca
- B••••••• C•••••• I••• to W•••• F•••• A•••••••left Oct 11, 2013, registered Nov 8, 2013 (28 days) · Other
- W•••• F•••• A••••••• to B••••••• C•••••• I•••left Feb 8, 2013, registered Feb 13, 2013 (5 days) · Other
- D••••••• B••• S••••••••• I••• to W•••• F•••• A•••••••left Jul 21, 2011, registered Jul 27, 2011 (6 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to D••••••• B••• S••••••••• I•••left Dec 23, 2010, registered Jan 19, 2011 (27 days) · Other
- U•••• S••••• G••••• W••••• M••••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 12, 2010, registered May 19, 2010 (-85 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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address