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.
M••• P•••••• F•••••••
- C•••• I••••••••• G•••• independent RIA currentsince Mar 2, 2021 · Vancouver, Wa
- E• W••••• A••••••• independent RIAFeb 9, 2021 to Mar 30, 2021 · Torrance, Ca
- N••••••• F•••••••• G••••• L•• formerAug 15, 2011 to Feb 23, 2021 · San Mateo, Ca
- S•••••••• A••••••• L•• national BDJan 14, 2004 to Jul 22, 2011 · Palo Alto, Ca
- E• W••••• A••••••• to C•••• I••••••••• G••••left Mar 30, 2021, registered Mar 2, 2021 (-28 days) · RIA to RIA
- N••••••• F•••••••• G••••• L•• to E• W••••• A•••••••left Feb 23, 2021, registered Feb 9, 2021 (-14 days) · RIA to RIA · moved with a team
- S•••••••• A••••••• L•• to N••••••• F•••••••• G••••• L••left Jul 22, 2011, registered Aug 15, 2011 (24 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address