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•••••• BD affiliated currentsince Dec 19, 2022 · San Jose, Ca
- H•••• F••••••••• I••• formerSep 6, 2017 to Feb 7, 2023 · San Jose, Ca
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJan 2, 2009 to Oct 2, 2017 · San Jose, Ca
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedMay 6, 2008 to Jan 2, 2009 · San Jose, Ca
- W•••• F•••• A••••••• wirehouseJan 1, 2008 to May 8, 2008 · San Jose, Ca
- A• G• E•••••• • S•••• I••• unclassifiedMay 28, 2004 to Jan 1, 2008 · San Jose, Ca
- W•••• F•••• A••••••• wirehouseJan 8, 2004 to Jun 2, 2004 · San Diego, Ca
- H•••• F••••••••• I••• to M••••••left Feb 7, 2023, registered Dec 19, 2022 (-50 days) · RIA to affiliated broker-dealer or bank · moved with a team
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to H•••• F••••••••• I•••left Oct 2, 2017, registered Sep 6, 2017 (-26 days) · Other · moved with a team
- R•••••• J•••• F•••••••• S•••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jan 2, 2009, registered Jan 2, 2009 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to R•••••• J•••• F•••••••• S•••••••• I•••left May 8, 2008, registered May 6, 2008 (-2 days) · Other
- A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••left Jan 1, 2008, registered Jan 1, 2008 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to A• G• E•••••• • S•••• I•••left Jun 2, 2004, registered May 28, 2004 (-5 days) · Other
- Z•••••• D••••• H•••• left H•••• F••••••••• I••• for Mariner (registered 2022-12-19)Feb 7, 2023 · Advisor changed firm · fact
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address