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•••••• A• M••••••
- L•• F•••••••• L•• BD affiliated currentsince Dec 8, 2009 · San Francisco, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 29, 2007 to Dec 17, 2009 · San Francisco, Ca
- C••••••• I••••••••• S••••••• unclassifiedJun 28, 2006 to May 29, 2007 · San Francisco, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedOct 20, 2004 to Dec 1, 2005 · San Francisco, Ca
- Q•••• • R•••••• I••• unclassifiedDec 15, 2003 to Oct 20, 2004 · San Francisco, Ca
- E•••••••• A•••••••• L•• national BDJun 7, 2002 to Dec 16, 2003 · San Francisco, Ca
- C•••••••• G••••• M•••••• I••• to L•• F•••••••• L••left Dec 17, 2009, registered Dec 8, 2009 (-9 days) · Other
- C••••••• I••••••••• S••••••• to C•••••••• G••••• M•••••• I•••left May 29, 2007, registered May 29, 2007 (0 days) · corporate re-registration, not a move
- B••• O• A•••••• I••••••••• S•••••••• I••• to C••••••• I••••••••• S•••••••left Dec 1, 2005, registered Jun 28, 2006 (209 days) · Other
- Q•••• • R•••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Oct 20, 2004, registered Oct 20, 2004 (0 days) · corporate re-registration, not a move
- E•••••••• A•••••••• L•• to Q•••• • R•••••• I•••left Dec 16, 2003, registered Dec 15, 2003 (-1 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