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••••• A••• S••••
- L•• F•••••••• L•• BD affiliated currentsince Feb 14, 2008 · Sonora, Ca
- F•••••••• T••••••• I••• formerApr 13, 2006 to Feb 20, 2008 · Walnut Creek, Ca
- H•••••••• I••••••••• A•••••••• I••• formerMar 23, 2006 to Apr 14, 2008 · San Rafael, Ca
- O•••• F•• I••• formerMar 27, 2001 to Mar 8, 2006 · Walnut Creek, Ca
- H•••••••• I••••••••• A•••••••• I••• to F•••••••• T••••••• I•••left Apr 14, 2008, registered Apr 13, 2006 (-732 days) · Other
- F•••••••• T••••••• I••• to L•• F•••••••• L••left Feb 20, 2008, registered Feb 14, 2008 (-6 days) · Other
- O•••• F•• I••• to H•••••••• I••••••••• A•••••••• I•••left Mar 8, 2006, registered Mar 23, 2006 (15 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address