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.
I••• B•••• L••••••
- S••• R•••• C•••••• L•• independent RIA currentsince Dec 15, 2017 · Menlo Park, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 25, 2009 to Jan 4, 2018 · Palo Alto, Ca
- S••• A•••• M••••••••• L•• unclassifiedJul 11, 2007 to Dec 9, 2009 · San Francisco, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S••• R•••• C•••••• L••left Jan 4, 2018, registered Dec 15, 2017 (-20 days) · Wirehouse to a newly registered adviser (no RAUM reported yet) · moved with a team
- S••• A•••• M••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Dec 9, 2009, registered Nov 25, 2009 (-14 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
- Independent wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address