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.
D•••• P••• N••••
- O•• W••••• A•••••••• L•• independent RIA currentsince Jan 17, 2020 · San Francisco, Ca
- U•• F•••••••• S••••••• I••• wirehouseMar 6, 2009 to Jan 30, 2020 · San Francisco, Ca
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Mar 10, 2009 · San Francisco, Ca
- M••••• S•••••• D• I••• unclassifiedOct 4, 2002 to Apr 2, 2007 · San Francisc, Ca
- U•• F•••••••• S••••••• I••• to O•• W••••• A•••••••• L••left Jan 30, 2020, registered Jan 17, 2020 (-13 days) · Wirehouse to independent RIA
- M••••• S•••••• • C•• L•• to U•• F•••••••• S••••••• I•••left Mar 10, 2009, registered Mar 6, 2009 (-4 days) · Other
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
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