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•••• M•••••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Jun 10, 2016 · Santa Cruz, Ca
- P•••••••• I•••••••• O• A•••••• formerSep 7, 2011 to Jul 22, 2016 · San Francisco, Ca
- M••••• S•••••• wirehouseJun 1, 2009 to Sep 21, 2011 · Capitola, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedOct 17, 2003 to Jun 1, 2009 · Capitola, Ca
- A• G• E•••••• • S•••• I••• unclassifiedMar 29, 2002 to Oct 23, 2003 · Monterey, Ca
- P•••••••• I•••••••• O• A•••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Jul 22, 2016, registered Jun 10, 2016 (-42 days) · Other · moved with a team
- M••••• S•••••• to P•••••••• I•••••••• O• A••••••left Sep 21, 2011, registered Sep 7, 2011 (-14 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- A• G• E•••••• • S•••• I••• to C•••••••• G••••• M•••••• I•••left Oct 23, 2003, registered Oct 17, 2003 (-6 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