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•••••• C•••
- V••• R••••••••• A•••••••• L•• other currentsince Apr 30, 2021 · Windsor, Ct
- V••• F•••••••• A•••••••• I••• BD affiliated currentsince Jan 21, 2020 · Simi Valley, Ca
- W•••• F•••• A••••••• wirehouseJan 19, 2017 to Dec 3, 2018 · San Francisco, Ca
- S•••••••• I••••••••• M••••••••• formerApr 25, 2016 to Oct 27, 2016 · Saint Louis, Mo
- B••••••• I••••••••• S•••••••• I••• ••••• formerMar 5, 2015 to Sep 25, 2015 · Fremont, Ca
- E•••• S••••••••• L•• BD affiliatedOct 6, 2014 to Feb 19, 2015 · San Jose, Ca
- E•••••• C•••••• M••••••••• L•• formerJan 4, 2012 to Jan 28, 2014 · Arlington, Va
- U••• B•••••• A•••••••• L•• BD affiliatedJul 1, 2009 to Jan 9, 2012 · Danville, Ca
- U••• B•••••• I••••••••• I••• formerJan 11, 2006 to Jun 26, 2006 · Millbrae, Ca
- C••••••• I••••••••• S••••••• unclassifiedJul 12, 2004 to Jan 18, 2005 · San Francisco, Ca
- W•••• F•••• A••••••• to V••• F•••••••• A•••••••• I•••left Dec 3, 2018, registered Jan 21, 2020 (414 days) · Wirehouse to affiliated broker-dealer or bank
- S•••••••• I••••••••• M••••••••• to W•••• F•••• A•••••••left Oct 27, 2016, registered Jan 19, 2017 (84 days) · Other
- B••••••• I••••••••• S•••••••• I••• ••••• to S•••••••• I••••••••• M•••••••••left Sep 25, 2015, registered Apr 25, 2016 (213 days) · Other
- E•••• S••••••••• L•• to B••••••• I••••••••• S•••••••• I••• •••••left Feb 19, 2015, registered Mar 5, 2015 (14 days) · Other
- E•••••• C•••••• M••••••••• L•• to E•••• S••••••••• L••left Jan 28, 2014, registered Oct 6, 2014 (251 days) · Other
- U••• B•••••• A•••••••• L•• to E•••••• C•••••• M••••••••• L••left Jan 9, 2012, registered Jan 4, 2012 (-5 days) · Other
- U••• B•••••• I••••••••• I••• to U••• B•••••• A•••••••• L••left Jun 26, 2006, registered Jul 1, 2009 (1101 days) · Other
- C••••••• I••••••••• S••••••• to U••• B•••••• I••••••••• I•••left Jan 18, 2005, registered Jan 11, 2006 (358 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address