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.
- O•••••• F•••••• former currentsince Jan 7, 2020 · Walnut Creek, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 20, 2012 to Jan 8, 2020 · San Francisco, Ca
- C••••• S••••• S••••••••• •••• L•• formerOct 20, 2008 to Sep 10, 2012 · San Francisco, Ca
- U•• F•••••••• S••••••• I••• wirehouseJul 25, 2006 to Oct 24, 2008 · San Francisco, Ca
- U•••••••• S••••••••• I••• unclassifiedJul 20, 2004 to Dec 8, 2004 · Gainesville, Fl
- M••••• S•••••• D• I••• unclassifiedNov 4, 2002 to Jul 15, 2004 · Miami, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to O•••••• F••••••left Jan 8, 2020, registered Jan 7, 2020 (-1 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- C••••• S••••• S••••••••• •••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 10, 2012, registered Aug 20, 2012 (-21 days) · Other
- U•• F•••••••• S••••••• I••• to C••••• S••••• S••••••••• •••• L••left Oct 24, 2008, registered Oct 20, 2008 (-4 days) · Other
- U•••••••• S••••••••• I••• to U•• F•••••••• S••••••• I•••left Dec 8, 2004, registered Jul 25, 2006 (594 days) · Other
- M••••• S•••••• D• I••• to U•••••••• S••••••••• I•••left Jul 15, 2004, registered Jul 20, 2004 (5 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
- Former SEC-registered adviserderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address