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.
W•••••• L•••• H••••••
- V••• R••••••••• A•••••••• L•• other currentsince Jul 12, 2023 · Windsor, Ct
- V••• F•••••••• A•••••••• I••• BD affiliatedMar 26, 2013 to Dec 18, 2014 · San Jose, Ca
- N•• A•••••• S•••••••• L•• formerJul 24, 2008 to Dec 10, 2010 · Sacramento, Ca
- V••• F•••••••• A•••••••• I••• to V••• R••••••••• A•••••••• L••left Dec 18, 2014, registered Jul 12, 2023 (3128 days) · Other
- N•• A•••••• S•••••••• L•• to V••• F•••••••• A•••••••• I•••left Dec 10, 2010, registered Mar 26, 2013 (837 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
- Other adviserderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address