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.
R••••• B•••••• D•••••
- D••••• I••••••••• M••••••••• state registered currentsince Feb 4, 2021 · Walnut Creek, Ca
- L•• F•••••••• L•• BD affiliatedAug 21, 2017 to Jul 26, 2021 · Walnut Creek, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDNov 28, 2014 to Aug 24, 2017 · Walnut Creek, Ca
- L•• F•••••••• L•• to D••••• I••••••••• M•••••••••left Jul 26, 2021, registered Feb 4, 2021 (-172 days) · Affiliated broker-dealer or bank to a state-registered adviser
- A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••left Aug 24, 2017, registered Aug 21, 2017 (-3 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address