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.
H•• G•• T••••
- K•• F•••• W••••• L•• state registered currentsince Feb 22, 2021 · San Ramon, Ca
- B••••••••• C•••••• M••••••••• L•• state registeredJun 23, 2014 to Feb 11, 2021 · Fair Oaks, Ca
- S•••••••• A••••••• L•• national BDJul 23, 2004 to Jun 26, 2014 · Walnut Creek, Ca
- W•••••• • R••• formerJun 4, 2003 to Jun 23, 2004 · Fairfield, Ca
- B••••••••• C•••••• M••••••••• L•• to K•• F•••• W••••• L••left Feb 11, 2021, registered Feb 22, 2021 (11 days) · Other
- S•••••••• A••••••• L•• to B••••••••• C•••••• M••••••••• L••left Jun 26, 2014, registered Jun 23, 2014 (-3 days) · Affiliated broker-dealer or bank to a state-registered adviser
- W•••••• • R••• to S•••••••• A••••••• L••left Jun 23, 2004, registered Jul 23, 2004 (30 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
- STATE REGISTEREDderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address