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.
J••••••• B•••
- L•• F•••••••• L•• BD affiliated currentsince Jun 29, 2018 · San Jose, Ca
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedJan 6, 2012 to Jul 2, 2018 · San Jose, Ca
- I••••••••• A••••••• I••••••••• I••• unclassifiedMar 18, 2010 to Jan 6, 2012 · San Jose, Ca
- S•••••••• F••••••••• I••• formerJan 10, 2007 to Apr 28, 2008 · Las Vegas, Nv
- A••••••• R••••••••• P••••••• G•••• I•• independent RIAOct 14, 2003 to Mar 17, 2010 · Las Vegas, Nv
- T••••••••• F•••••••• A•••••••• L•• to L•• F•••••••• L••left Jul 2, 2018, registered Jun 29, 2018 (-3 days) · Affiliated broker-dealer or bank to independent RIA
- I••••••••• A••••••• I••••••••• I••• to T••••••••• F•••••••• A•••••••• L••left Jan 6, 2012, registered Jan 6, 2012 (0 days) · corporate re-registration, not a move
- A••••••• R••••••••• P••••••• G•••• I•• to S•••••••• F••••••••• I•••left Mar 17, 2010, registered Jan 10, 2007 (-1162 days) · Other
- S•••••••• F••••••••• I••• to I••••••••• A••••••• I••••••••• I•••left Apr 28, 2008, registered Mar 18, 2010 (689 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address