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.
E•••••• B• L••••
- L•• F•••••••• L•• BD affiliated currentsince May 23, 2012 · Ceres, Ca
- C•••••• A••••••• formerApr 3, 2012 to May 3, 2012 · San Jose, Ca
- W•••• F•••• A••••••• wirehouseAug 8, 2008 to Apr 2, 2012 · San Jose, Ca
- U•• F•••••••• S••••••• I••• wirehouseMar 28, 2003 to Aug 22, 2008 · San Jose, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedAug 1, 2000 to Apr 14, 2003 · Palo Alto, Ca
- C•••••• A••••••• to L•• F•••••••• L••left May 3, 2012, registered May 23, 2012 (20 days) · Other
- W•••• F•••• A••••••• to C•••••• A•••••••left Apr 2, 2012, registered Apr 3, 2012 (1 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Aug 22, 2008, registered Aug 8, 2008 (-14 days) · Wirehouse to wirehouse
- C•••••••• G••••• M•••••• I••• to U•• F•••••••• S••••••• I•••left Apr 14, 2003, registered Mar 28, 2003 (-17 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address