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.
A••••• S••••• B•••
- E•••••• F•••••••• E•••••• independent RIA currentsince Jan 21, 2020 · Alpharetta, Ga
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Jun 3, 2019 · Boston, Ma
- S•••••••• A••••••• L•• national BDDec 12, 2013 to Jul 13, 2018 · Fairfield, Ct
- T• A••••••••• I••• formerMay 23, 2007 to Oct 21, 2013 · San Francisco, Ca
- T• A••••••••• I••••••••• M••••••••• L•• formerMay 23, 2007 to Oct 21, 2013 · San Francisco, Ca
- I••• S••••••••• I••• unclassifiedFeb 2, 2006 to Nov 10, 2006 · Mill Valley, Ca
- W•••• F•••• I••••••••• L•• unclassifiedJan 28, 2004 to Jan 19, 2006 · San Anselmo, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDFeb 21, 2002 to Jan 22, 2004 · San Francisco, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• to E•••••• F•••••••• E••••••left Jun 3, 2019, registered Jan 21, 2020 (232 days) · Affiliated broker-dealer or bank to independent RIA
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 21, 2013, registered May 23, 2007 (-2343 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to S•••••••• A••••••• L••left Oct 21, 2013, registered Dec 12, 2013 (52 days) · Other
- I••• S••••••••• I••• to T• A••••••••• I•••left Nov 10, 2006, registered May 23, 2007 (194 days) · Other
- W•••• F•••• I••••••••• L•• to I••• S••••••••• I•••left Jan 19, 2006, registered Feb 2, 2006 (14 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to W•••• F•••• I••••••••• L••left Jan 22, 2004, registered Jan 28, 2004 (6 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