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.
J•••• U••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Oct 1, 2012 · Walnut Creek, Ca
- C•••• I••••••••• S••••••• C•••• formerJan 5, 2011 to Oct 1, 2012 · Benicia, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedMay 2, 2007 to Jan 29, 2009 · San Ramon, Ca
- W•••• F•••• I••••••••• L•• unclassifiedJul 20, 2006 to Apr 16, 2007 · Lafayette, Ca
- P•••• S•••••• • C•• institutionalOct 21, 2005 to Nov 7, 2005 · East Palo Alto, Ca
- W•••• F•••• A••••••• wirehouseJul 1, 2003 to Oct 21, 2005 · Walnut Creek, Ca
- P••••••••• E••••• G••••• L•• unclassifiedMar 9, 2001 to Jul 1, 2003 · Walnut Creek, Ca
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- B••• O• A•••••• I••••••••• S•••••••• I••• to C•••• I••••••••• S••••••• C••••left Jan 29, 2009, registered Jan 5, 2011 (706 days) · Other
- W•••• F•••• I••••••••• L•• to B••• O• A•••••• I••••••••• S•••••••• I•••left Apr 16, 2007, registered May 2, 2007 (16 days) · Other
- P•••• S•••••• • C•• to W•••• F•••• I••••••••• L••left Nov 7, 2005, registered Jul 20, 2006 (255 days) · Other
- W•••• F•••• A••••••• to P•••• S•••••• • C••left Oct 21, 2005, registered Oct 21, 2005 (0 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••left Jul 1, 2003, registered Jul 1, 2003 (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
- Wirehousederived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address