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•••••• W•••• M••••••
- U••••• C•••••• F•••••••• A••••••• independent RIA currentsince Aug 16, 2017 · Palm Desert, Ca
- L•• F•••••••• L•• BD affiliatedSep 21, 2012 to Jun 22, 2017 · Palm Desert, Ca
- S•••••• V••••• C•••••• P•••••••• L••• independent RIAMay 5, 2008 to Mar 5, 2014 · San Jose, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDJan 5, 2001 to Jul 22, 2003 · Campbell, Ca
- L•• F•••••••• L•• to U••••• C•••••• F•••••••• A•••••••left Jun 22, 2017, registered Aug 16, 2017 (55 days) · Other · moved with a team
- S•••••• V••••• C•••••• P•••••••• L••• to L•• F•••••••• L••left Mar 5, 2014, registered Sep 21, 2012 (-530 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to S•••••• V••••• C•••••• P•••••••• L•••left Jul 22, 2003, registered May 5, 2008 (1749 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
- Independent wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address