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••••• M•••••• H•••••••
- M•••• B•• W••••• A•••••••• L•• independent RIA currentsince Aug 25, 2017 · Sausalito, Ca
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Aug 30, 2017 · San Francisco, Ca
- W•••• F•••• I••••••••• L•• unclassifiedApr 1, 2009 to Jan 3, 2011 · San Francisco, Ca
- C•••••• S••••• • C••• I••• national BDMay 6, 2005 to Oct 7, 2005 · San Mateo, Ca
- D••••••• B••• S••••••••• I••• no RAUMAug 16, 2002 to Apr 28, 2005 · San Francisco, Ca
- R•••••••• S•••••••• I••• unclassifiedAug 11, 2000 to Aug 19, 2002 · San Francisco, Ca
- W•••• F•••• A••••••• to M•••• B•• W••••• A•••••••• L••left Aug 30, 2017, registered Aug 25, 2017 (-5 days) · Wirehouse to a newly registered adviser (no RAUM reported yet) · moved with a team
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- C•••••• S••••• • C••• I••• to W•••• F•••• I••••••••• L••left Oct 7, 2005, registered Apr 1, 2009 (1272 days) · Other
- D••••••• B••• S••••••••• I••• to C•••••• S••••• • C••• I•••left Apr 28, 2005, registered May 6, 2005 (8 days) · Other
- R•••••••• S•••••••• I••• to D••••••• B••• S••••••••• I•••left Aug 19, 2002, registered Aug 16, 2002 (-3 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address