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.
M•••••• H• J••••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Oct 16, 2024 · Walnut Creek, Ca
- J••• M••••• S••••••••• L•• wirehouseFeb 18, 2020 to Mar 26, 2024 · San Ramon, Ca
- A•••• I••••••••• M••••••••• L•• formerNov 3, 2015 to May 7, 2019 · San Ramon, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDApr 1, 2013 to Oct 3, 2014 · Walnut Creek, Ca
- A•••••••• F•••• M••••••••• L•• asset managerNov 30, 2005 to Jan 6, 2012 · San Francisco, Ca
- A•••• I••••••••• M••••••••• L•• to J••• M••••• S••••••••• L••left May 7, 2019, registered Feb 18, 2020 (287 days) · RIA to wirehouse
- A••••••••• F•••••••• S•••••••• L•• to A•••• I••••••••• M••••••••• L••left Oct 3, 2014, registered Nov 3, 2015 (396 days) · Other
- A•••••••• F•••• M••••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Jan 6, 2012, registered Apr 1, 2013 (451 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address