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.
C••••• W• H•••••
- E•••••• F•••••••• E•••••• independent RIA currentsince Oct 24, 2013 · Santa Clara, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 7, 2012 to Oct 7, 2013 · Chandler, Az
- S•••••••• F••••••••• I••• formerApr 10, 2007 to Jul 26, 2012 · Bend, Or
- M•• F•••••••• S•••••••• I••• formerJul 9, 2002 to Dec 31, 2003 · Bend, Or
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E•••••• F•••••••• E••••••left Oct 7, 2013, registered Oct 24, 2013 (17 days) · Other
- S•••••••• F••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 26, 2012, registered Aug 7, 2012 (12 days) · Other
- M•• F•••••••• S•••••••• I••• to S•••••••• F••••••••• I•••left Dec 31, 2003, registered Apr 10, 2007 (1196 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