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••••••••• A•••• G•••••••
- M••••• S•••••• wirehouse currentsince Sep 21, 2015 · San Francisco, Ca
- B••••••• C•••••• I••• formerJan 21, 2009 to Oct 7, 2015 · San Francisco, Ca
- L••••• B••••••• I••• unclassifiedDec 21, 2007 to Oct 15, 2008 · San Francisco, Ca
- B••••••• C•••••• I••• to M••••• S••••••left Oct 7, 2015, registered Sep 21, 2015 (-16 days) · Other
- L••••• B••••••• I••• to B••••••• C•••••• I•••left Oct 15, 2008, registered Jan 21, 2009 (98 days) · corporate re-registration, not a move
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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address