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.
- P•••••• A••••••• state registered currentsince Jan 9, 2013 · Moraga, Ca
- C•••••••• W••••• M••••••••• formerAug 5, 2011 to Mar 12, 2013 · San Ramon, Ca
- L•••••••• F••••••••• M••••••••• L•• independent RIASep 20, 2007 to Jul 25, 2011 · Pleasant Hill, Ca
- Q•• F•••••••• L•• unclassifiedJan 11, 2006 to Sep 24, 2007 · Orinda, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedSep 5, 2003 to Jan 9, 2006 · Walnut Creek, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 27, 2002 to Aug 29, 2003 · Walnut Creek, Ca
- C•••••••• W••••• M••••••••• to P•••••• A•••••••left Mar 12, 2013, registered Jan 9, 2013 (-62 days) · Other
- L•••••••• F••••••••• M••••••••• L•• to C•••••••• W••••• M•••••••••left Jul 25, 2011, registered Aug 5, 2011 (11 days) · Other
- Q•• F•••••••• L•• to L•••••••• F••••••••• M••••••••• L••left Sep 24, 2007, registered Sep 20, 2007 (-4 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to Q•• F•••••••• L••left Jan 9, 2006, registered Jan 11, 2006 (2 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Aug 29, 2003, registered Sep 5, 2003 (7 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
- STATE REGISTEREDderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address