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.
T••••• D•••••• B•••••
- C•••••• S••••• • C••• I••• national BD currentsince Apr 2, 2020 · Campbell, Ca
- L•• F•••••••• L•• BD affiliatedOct 18, 2016 to Mar 25, 2020 · Sunnyvale, Ca
- M•••••• A•••••• N•••••• BD affiliatedSep 29, 2016 to Oct 19, 2016 · Sunnyvale, Ca
- S•••••••• A••••••• L•• national BDJan 17, 2007 to Oct 10, 2016 · Sunnyvale, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 13, 2001 to Oct 7, 2003 · San Jose, Ca
- L•• F•••••••• L•• to C•••••• S••••• • C••• I•••left Mar 25, 2020, registered Apr 2, 2020 (8 days) · Affiliated broker-dealer or bank to another
- M•••••• A•••••• N•••••• to L•• F•••••••• L••left Oct 19, 2016, registered Oct 18, 2016 (-1 days) · Other
- S•••••••• A••••••• L•• to M•••••• A•••••• N••••••left Oct 10, 2016, registered Sep 29, 2016 (-11 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••••• A••••••• L••left Oct 7, 2003, registered Jan 17, 2007 (1198 days) · Wirehouse to affiliated broker-dealer or bank
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
- National broker-dealer RIAderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address