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.
L•••• M••••••• S••••••••
- K••••• A••••••• S•••••••• L•• BD affiliated currentsince Jul 2, 2020 · Danville, Ca
- S••••••• F•••••••• S•••••••• I••• formerMar 15, 2011 to Jul 22, 2020 · San Ramon, Ca
- L•• F•••••••• L•• BD affiliatedSep 8, 2009 to Dec 12, 2009 · San Ramon, Ca
- A••••••••• S••••••••• C•••• unclassifiedDec 3, 2008 to Sep 8, 2009 · San Mateo, Ca
- S•••••••• W••••• A••••••• G•••• formerMay 5, 2008 to Apr 19, 2011 · San Ramon, Ca
- F•• S••••••••• C••••••••• formerApr 25, 2008 to Nov 28, 2008 · San Mateo, Ca
- C•••••••• P•••••••• I••• independent RIAMar 2, 2006 to Apr 17, 2008 · San Ramon, Ca
- B••• O•• S••••••••• C••••••••• unclassifiedSep 30, 2002 to Feb 1, 2006 · Wilmette, Il
- S••••••• F•••••••• S•••••••• I••• to K••••• A••••••• S•••••••• L••left Jul 22, 2020, registered Jul 2, 2020 (-20 days) · Affiliated broker-dealer or bank to another
- S•••••••• W••••• A••••••• G•••• to A••••••••• S••••••••• C••••left Apr 19, 2011, registered Dec 3, 2008 (-867 days) · Other
- L•• F•••••••• L•• to S••••••• F•••••••• S•••••••• I•••left Dec 12, 2009, registered Mar 15, 2011 (458 days) · Other
- A••••••••• S••••••••• C•••• to L•• F•••••••• L••left Sep 8, 2009, registered Sep 8, 2009 (0 days) · Other
- F•• S••••••••• C••••••••• to S•••••••• W••••• A••••••• G••••left Nov 28, 2008, registered May 5, 2008 (-207 days) · Other
- C•••••••• P•••••••• I••• to F•• S••••••••• C•••••••••left Apr 17, 2008, registered Apr 25, 2008 (8 days) · Other
- B••• O•• S••••••••• C••••••••• to C•••••••• P•••••••• I•••left Feb 1, 2006, registered Mar 2, 2006 (29 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