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••••• D•••• G••••••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Mar 21, 2024 · San Francisco, Ca
- I•••••••• C•••••• A••••••• formerJun 21, 2012 to Oct 3, 2016 · Lynnfield, Ma
- L•• F•••••••• L•• BD affiliatedSep 8, 2009 to Jun 14, 2012 · San Francisco, Ca
- M••••• S•••••• C••••••••• unclassifiedJan 24, 2005 to Sep 8, 2009 · San Francisco, Ca
- P••••••••• E••••• G••••• L•• unclassifiedAug 11, 1999 to Nov 12, 2002 · San Francisco, Ca
- I•••••••• C•••••• A••••••• to C••••• I••••••••• A••••••• L••left Oct 3, 2016, registered Mar 21, 2024 (2726 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to I•••••••• C•••••• A•••••••left Jun 14, 2012, registered Jun 21, 2012 (7 days) · Other
- M••••• S•••••• C••••••••• to L•• F•••••••• L••left Sep 8, 2009, registered Sep 8, 2009 (0 days) · corporate re-registration, not a move
- P••••••••• E••••• G••••• L•• to M••••• S•••••• C•••••••••left Nov 12, 2002, registered Jan 24, 2005 (804 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address