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.
K•• Z••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince May 8, 2018 · San Jose, Ca
- S•••••••• I••••••••• M••••••••• formerJan 27, 2017 to Mar 9, 2018 · Saint Louis, Mo
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 23, 2016 to May 23, 2016 · San Jose, Ca
- A•••••• A••••••• S••••••• formerFeb 26, 2002 to May 30, 2003 · San Jose, Ca
- S•••••••• I••••••••• M••••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 9, 2018, registered May 8, 2018 (60 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••••• I••••••••• M•••••••••left May 23, 2016, registered Jan 27, 2017 (249 days) · Other
- A•••••• A••••••• S••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 30, 2003, registered Feb 23, 2016 (4652 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
- Wirehousederived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address