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.
G•••• D••• W••••••••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince May 2, 2022 · Austin, Tx
- M••••• S•••••• wirehouseNov 2, 2012 to May 31, 2022 · Menlo Park, Ca
- J••• M••••• S••••••••• L•• wirehouseDec 8, 2009 to May 15, 2012 · San Francisco, Ca
- N•••••••• B••••• B• L•• no RAUMNov 16, 2006 to Dec 8, 2009 · San Francisco, Ca
- 1•• G••••• A••••••• I•• formerFeb 6, 2006 to Dec 5, 2006 · Los Gatos, Ca
- M••••• S•••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left May 31, 2022, registered May 2, 2022 (-29 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- J••• M••••• S••••••••• L•• to M••••• S••••••left May 15, 2012, registered Nov 2, 2012 (171 days) · Wirehouse to wirehouse
- N•••••••• B••••• B• L•• to J••• M••••• S••••••••• L••left Dec 8, 2009, registered Dec 8, 2009 (0 days) · Other
- 1•• G••••• A••••••• I•• to N•••••••• B••••• B• L••left Dec 5, 2006, registered Nov 16, 2006 (-19 days) · Other
- G•••• D••• W•••••••• left M••••• S•••••• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2022-05-02)May 31, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address