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.
B••••••• A•••• E••••••
- L•• F•••••••• L•• BD affiliated currentsince Jan 30, 2024 · Southbury, Ct
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 25, 2017 to Oct 2, 2017 · Walnut Creek, Ca
- M•• F•••••••• S•••••••• I••• formerAug 17, 2015 to Mar 25, 2017 · San Ramon, Ca
- M••••• S•••••• wirehouseOct 9, 2013 to Jun 25, 2015 · Walnut Creek, Ca
- U•• F•••••••• S••••••• I••• wirehouseOct 10, 2012 to Oct 4, 2013 · Walnut Creek, Ca
- M••••• S•••••• wirehouseJul 10, 2012 to Nov 14, 2012 · Portland, Or
- M•• I•••••••• S•••••••• L•• to L•• F•••••••• L••left Oct 2, 2017, registered Jan 30, 2024 (2311 days) · Other
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
- M••••• S•••••• to M•• F•••••••• S•••••••• I•••left Jun 25, 2015, registered Aug 17, 2015 (53 days) · Other
- U•• F•••••••• S••••••• I••• to M••••• S••••••left Oct 4, 2013, registered Oct 9, 2013 (5 days) · Wirehouse to wirehouse
- M••••• S•••••• to U•• F•••••••• S••••••• I•••left Nov 14, 2012, registered Oct 10, 2012 (-35 days) · Wirehouse to wirehouse
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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address