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•••••• A••••• K••••
- C•••••••• A•••••••• L•• independent RIA currentsince Apr 5, 2016 · Annapolis, Md
- S••••••• I••••••••• I••• formerMay 13, 2016 to Nov 17, 2017 · Pleasanton, Ca
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedSep 4, 2009 to May 13, 2016 · Pleasanton, Ca
- T••••••••• F•••••••• A•••••••• I••• unclassifiedJul 9, 2003 to Sep 4, 2009 · Annapolis, Md
- S••••••• I••••••••• I••• to no registered destinationleft Nov 17, 2017 · Departure, no registered destination
- T••••••••• F•••••••• A•••••••• L•• to C•••••••• A•••••••• L••left May 13, 2016, registered Apr 5, 2016 (-38 days) · Other
- T••••••••• F•••••••• A•••••••• I••• to T••••••••• F•••••••• A•••••••• L••left Sep 4, 2009, registered Sep 4, 2009 (0 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
- Independent wealth managerderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address