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••••• J• M•••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Sep 13, 2018 · Walnut Creek, Ca
- H••• S••••••••• •••• I••• BD affiliatedApr 8, 2011 to Sep 6, 2018 · San Francisco, Ca
- D••••••• B••• S••••••••• I••• no RAUMApr 12, 2006 to Apr 4, 2011 · San Francisco, Ca
- T••••••• I••••••••• M••••••••• I••• BD affiliatedMay 13, 2004 to Oct 9, 2004 · San Francisco, Ca
- H••• S••••••••• •••• I••• to J••• M••••• S••••••••• L••left Sep 6, 2018, registered Sep 13, 2018 (7 days) · Affiliated broker-dealer or bank to wirehouse
- D••••••• B••• S••••••••• I••• to H••• S••••••••• •••• I•••left Apr 4, 2011, registered Apr 8, 2011 (4 days) · Other
- T••••••• I••••••••• M••••••••• I••• to D••••••• B••• S••••••••• I•••left Oct 9, 2004, registered Apr 12, 2006 (550 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
- Wirehousederived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address