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.
E••• E•••• H•••••
- V••••• W••••• S••••••••• L•• independent RIA currentsince Dec 12, 2017 · Sunnyvale, Ca
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerSep 9, 2013 to Nov 29, 2017 · Lake Forest, Ca
- L•••••• I••••••••• independent RIAOct 10, 2011 to Sep 10, 2013 · Santa Clara, Ca
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerAug 10, 2009 to Jan 19, 2010 · Emeryville, Ca
- C••••• A•••••• N••••••• L•• formerAug 13, 2008 to Aug 7, 2009 · Livermore, Ca
- P•••••• P••••••• S••••••••• I••• unclassifiedOct 10, 2002 to Aug 13, 2008 · Citrus Heights, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDMar 1, 2002 to Aug 30, 2002 · Campbell, Ca
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to V••••• W••••• S••••••••• L••left Nov 29, 2017, registered Dec 12, 2017 (13 days) · Other · moved with a team
- L•••••• I••••••••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left Sep 10, 2013, registered Sep 9, 2013 (-1 days) · Other
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to L•••••• I•••••••••left Jan 19, 2010, registered Oct 10, 2011 (629 days) · Other
- C••••• A•••••• N••••••• L•• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left Aug 7, 2009, registered Aug 10, 2009 (3 days) · Other
- P•••••• P••••••• S••••••••• I••• to C••••• A•••••• N••••••• L••left Aug 13, 2008, registered Aug 13, 2008 (0 days) · corporate re-registration, not a move
- A••••••••• F•••••••• S•••••••• L•• to P•••••• P••••••• S••••••••• I•••left Aug 30, 2002, registered Oct 10, 2002 (41 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