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.
C•••••• E••• A•••••••• R•••••••••
- O•••• W•••••• I••• BD affiliated currentsince Nov 3, 2023 · Walnut Creek, Ca
- F•• S••••••••• C••••••••• formerAug 12, 2020 to Nov 3, 2023 · Walnut Creek, Ca
- S•••••• P••••••• I••••••••• S••••••••• L•• formerJul 11, 2007 to Aug 18, 2020 · Napa, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 21, 2003 to Nov 3, 2006 · Santa Rosa, Ca
- U•• F•••••••• S••••••• I••• wirehouseSep 20, 2001 to Nov 26, 2003 · Los Angeles, Ca
- F•• S••••••••• C••••••••• to O•••• W•••••• I•••left Nov 3, 2023, registered Nov 3, 2023 (0 days) · corporate re-registration, not a move
- S•••••• P••••••• I••••••••• S••••••••• L•• to F•• S••••••••• C•••••••••left Aug 18, 2020, registered Aug 12, 2020 (-6 days) · RIA to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••• P••••••• I••••••••• S••••••••• L••left Nov 3, 2006, registered Jul 11, 2007 (250 days) · Other
- U•• F•••••••• S••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 26, 2003, registered Nov 21, 2003 (-5 days) · Wirehouse to wirehouse
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