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.
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E••• J••••••• L•••••
- P•••••• W••••• M••••••••• L•• independent RIA currentsince Feb 11, 2021 · San Francisco, Ca
- B•• W••••• A•••••••• L•• formerApr 18, 2019 to Mar 8, 2021 · San Francisco, Ca
- N••••• mixed wealthJun 28, 2016 to Apr 9, 2019 · San Francisco, Ca
- W••••••••• formerMar 3, 2016 to Jul 15, 2016 · San Francisco, Ca
- A••••••••• A••••••• L•• formerSep 21, 2012 to Jul 15, 2016 · San Francisco, Ca
- G•••• V••••• W••••• A••••••• L•• unclassifiedOct 28, 2009 to Jan 6, 2013 · San Francisco, Ca
- W•••• F•••• I••••••••• L•• unclassifiedJan 12, 2001 to May 5, 2005 · Walnut Creek, Ca
- B•• W••••• A•••••••• L•• to P•••••• W••••• M••••••••• L••left Mar 8, 2021, registered Feb 11, 2021 (-25 days) · RIA to RIA
- N••••• to B•• W••••• A•••••••• L••left Apr 9, 2019, registered Apr 18, 2019 (9 days) · RIA to RIA
- A••••••••• A••••••• L•• to W•••••••••left Jul 15, 2016, registered Mar 3, 2016 (-134 days) · Other · moved with a team
- W••••••••• to N•••••left Jul 15, 2016, registered Jun 28, 2016 (-17 days) · Other · moved with a team
- G•••• V••••• W••••• A••••••• L•• to A••••••••• A••••••• L••left Jan 6, 2013, registered Sep 21, 2012 (-107 days) · Other
- W•••• F•••• I••••••••• L•• to G•••• V••••• W••••• A••••••• L••left May 5, 2005, registered Oct 28, 2009 (1637 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