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.
M•••••• A•••• A•••••
- W•••• I••••••••• A•••••••• L•• other currentsince Aug 23, 2021 · San Ramon, Ca
- O•••• F•• I••• formerJun 6, 2017 to Aug 24, 2021 · San Ramon, Ca
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 25, 2017 to Jun 9, 2017 · San Ramon, Ca
- M•• F•••••••• S•••••••• I••• formerJan 2, 2015 to Mar 25, 2017 · San Ramon, Ca
- N•• E•••••• S••••••••• C••••••••• formerOct 10, 2006 to Jan 2, 2015 · Foster City, Ca
- W•••••• • R••• formerApr 21, 2004 to Sep 27, 2006 · San Mateo, Ca
- F•• A••••••• S••••••• I•• unclassifiedAug 22, 2003 to Apr 19, 2004 · San Ramon, Ca
- O•••• F•• I••• to W•••• I••••••••• A•••••••• L••left Aug 24, 2021, registered Aug 23, 2021 (-1 days) · Other · moved with a team
- M•• I•••••••• S•••••••• L•• to O•••• F•• I•••left Jun 9, 2017, registered Jun 6, 2017 (-3 days) · Other · moved with a team
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
- N•• E•••••• S••••••••• C••••••••• to M•• F•••••••• S•••••••• I•••left Jan 2, 2015, registered Jan 2, 2015 (0 days) · corporate re-registration, not a move
- W•••••• • R••• to N•• E•••••• S••••••••• C•••••••••left Sep 27, 2006, registered Oct 10, 2006 (13 days) · Other
- F•• A••••••• S••••••• I•• to W•••••• • R•••left Apr 19, 2004, registered Apr 21, 2004 (2 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address