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.
J••• M••••• R••••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Jan 19, 2012 · Palo Alto, Ca
- E•••• N••••••• S••••••••• I••• formerJun 8, 2010 to Jan 25, 2012 · Palo Alto, Ca
- A•••••• A••••• F•••••••• P•••••••• L•• unclassifiedNov 10, 2009 to Jul 16, 2012 · Palo Alto, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 29, 2007 to Nov 19, 2009 · San Francisco, Ca
- C••••••• I••••••••• S••••••• unclassifiedJun 28, 2006 to May 29, 2007 · San Rafael, Ca
- T• A••••••••• I••••••••• M••••••••• L•• formerApr 25, 2006 to Jul 5, 2006 · San Rafael, Ca
- T• A••••••••• I••• formerApr 14, 2005 to Jul 5, 2006 · San Rafael, Ca
- A• G• E•••••• • S•••• I••• unclassifiedMay 27, 2004 to Apr 6, 2005 · San Rafael, Ca
- A•••••• A••••• F•••••••• P•••••••• L•• to E•••• N••••••• S••••••••• I•••left Jul 16, 2012, registered Jun 8, 2010 (-769 days) · Other
- E•••• N••••••• S••••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jan 25, 2012, registered Jan 19, 2012 (-6 days) · Other
- C•••••••• G••••• M•••••• I••• to A•••••• A••••• F•••••••• P•••••••• L••left Nov 19, 2009, registered Nov 10, 2009 (-9 days) · Other
- C••••••• I••••••••• S••••••• to C•••••••• G••••• M•••••• I•••left May 29, 2007, registered May 29, 2007 (0 days) · corporate re-registration, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to C••••••• I••••••••• S•••••••left Jul 5, 2006, registered Jun 28, 2006 (-7 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Jul 5, 2006, registered Apr 25, 2006 (-71 days) · channel change inside one enterprise, not a move
- A• G• E•••••• • S•••• I••• to T• A••••••••• I•••left Apr 6, 2005, registered Apr 14, 2005 (8 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address