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.
K••• M••••• M•••••••
- L•• F•••••••• L•• BD affiliated currentsince Sep 8, 2009 · San Ramon, Ca
- A••••••••• P••••••• I••••••••• A••••••• I•• unclassifiedFeb 9, 2009 to Oct 13, 2009 · Boston, Ma
- A••••••••• S••••••••• C•••• unclassifiedFeb 9, 2009 to Sep 8, 2009 · Walnut Creek, Ca
- S•••••••• W••••• A••••••• G•••• formerOct 17, 2006 to Oct 24, 2006 · Walnut Creek, Ca
- F•• S••••••••• C••••••••• formerJul 5, 2001 to Feb 6, 2009 · Walnut Creek, Ca
- A••••••••• P••••••• I••••••••• A••••••• I•• to L•• F•••••••• L••left Oct 13, 2009, registered Sep 8, 2009 (-35 days) · Other
- A••••••••• S••••••••• C•••• to A••••••••• P••••••• I••••••••• A••••••• I••left Sep 8, 2009, registered Feb 9, 2009 (-211 days) · Other
- F•• S••••••••• C••••••••• to S•••••••• W••••• A••••••• G••••left Feb 6, 2009, registered Oct 17, 2006 (-843 days) · Other
- S•••••••• W••••• A••••••• G•••• to A••••••••• S••••••••• C••••left Oct 24, 2006, registered Feb 9, 2009 (839 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
- 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