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•••••• L••••••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Jan 19, 2012 · Palo Alto, Ca
- E•••• N••••••• S••••••••• I••• formerMay 14, 2010 to Jan 25, 2012 · Palo Alto, Ca
- A•••••• A••••• F•••••••• P•••••••• L•• unclassifiedSep 17, 2007 to Jul 16, 2012 · Palo Alto, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 29, 2007 to Jul 23, 2007 · Millbrae, Ca
- C••••••• I••••••••• S••••••• unclassifiedAug 10, 2004 to May 29, 2007 · Millbrae, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedApr 23, 2004 to Aug 7, 2004 · San Francisco, Ca
- A•••••• A••••• F•••••••• P•••••••• L•• to E•••• N••••••• S••••••••• I•••left Jul 16, 2012, registered May 14, 2010 (-794 days) · Other
- E•••• N••••••• S••••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jan 25, 2012, registered Jan 19, 2012 (-6 days) · Other
- C•••••••• G••••• M•••••• I••• to A•••••• A••••• F•••••••• P•••••••• L••left Jul 23, 2007, registered Sep 17, 2007 (56 days) · Other
- C••••••• I••••••••• S••••••• to C•••••••• G••••• M•••••• I•••left May 29, 2007, registered May 29, 2007 (0 days) · corporate re-registration, not a move
- B••• O• A•••••• I••••••••• S•••••••• I••• to C••••••• I••••••••• S•••••••left Aug 7, 2004, registered Aug 10, 2004 (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
- 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