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.
A••••••• J•••• A•••••••••
- S•••• F••• I••••••••• M••••••••• C•••• asset manager currentsince Jan 1, 2019 · Sunnyvale, Ca
- W••• I••••••••• I••• unclassifiedOct 6, 2008 to Mar 9, 2009 · Pacific Grove, Ca
- M••••• S•••••• D• I••• unclassifiedOct 9, 2003 to Jun 25, 2004 · Monterey, Ca
- W••• I••••••••• I••• to S•••• F••• I••••••••• M••••••••• C••••left Mar 9, 2009, registered Jan 1, 2019 (3585 days) · Other
- M••••• S•••••• D• I••• to W••• I••••••••• I•••left Jun 25, 2004, registered Oct 6, 2008 (1564 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
- Asset manager (funds and pooled vehicles)derived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address