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.
S•••• M• R••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Sep 1, 2022 · Minneapolis, Mn
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 20, 2018 to Aug 18, 2022 · Livermore, Ca
- O•••• F•• I••• formerMay 10, 2017 to May 9, 2018 · San Ramon, Ca
- U••• B•••••• A•••••••• L•• BD affiliatedJun 30, 2015 to Apr 6, 2017 · San Francisco, Ca
- A••••• A•• P••••••• S••••••• BD affiliatedAug 5, 2014 to May 29, 2015 · Palo Alto, Ca
- N•• A•••••••• I••• unclassifiedOct 28, 2008 to Jun 1, 2009 · Irvine, Ca
- S•••••••• A••••••• L•• national BDMay 12, 2005 to Oct 27, 2008 · Brea, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 18, 2001 to Mar 23, 2005 · Newport Beach, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• to A••••••••• F•••••••• S•••••••• L••left Aug 18, 2022, registered Sep 1, 2022 (14 days) · Affiliated broker-dealer or bank to another
- O•••• F•• I••• to F••••••• P••••••• A•• W•••••••• A•••••••left May 9, 2018, registered Jul 20, 2018 (72 days) · Affiliated broker-dealer or bank to a newly registered adviser
- U••• B•••••• A•••••••• L•• to O•••• F•• I•••left Apr 6, 2017, registered May 10, 2017 (34 days) · Other
- A••••• A•• P••••••• S••••••• to U••• B•••••• A•••••••• L••left May 29, 2015, registered Jun 30, 2015 (32 days) · Other
- N•• A•••••••• I••• to A••••• A•• P••••••• S•••••••left Jun 1, 2009, registered Aug 5, 2014 (1891 days) · Other
- S•••••••• A••••••• L•• to N•• A•••••••• I•••left Oct 27, 2008, registered Oct 28, 2008 (1 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••••• A••••••• L••left Mar 23, 2005, registered May 12, 2005 (50 days) · Wirehouse to affiliated broker-dealer or bank
- S•••• M• R•••••• left F••••••• P••••••• A•• W•••••••• A••••••• for A••••••••• F•••••••• S•••••••• L•• (registered 2022-09-01)Aug 18, 2022 · Advisor changed firm · fact
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
- National broker-dealer RIAderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address