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••••• G••••••
- L•• F•••••••• L•• BD affiliated currentsince Nov 29, 2017 · San Jose, Ca
- T•• P••••••• N••••••• I••• formerJul 6, 2016 to Dec 31, 2017 · San Jose, Ca
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerMar 17, 2009 to Nov 29, 2017 · San Jose, Ca
- W••• A••••••••• formerJul 29, 2005 to Mar 24, 2009 · Campbell, Ca
- O•••• W•••••• I••• BD affiliatedJul 28, 2005 to Mar 23, 2009 · Cupertino, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDAug 14, 2002 to Apr 4, 2005 · Campbell, Ca
- T•• P••••••• N••••••• I••• to L•• F•••••••• L••left Dec 31, 2017, registered Nov 29, 2017 (-32 days) · Other · moved with a team
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to T•• P••••••• N••••••• I•••left Nov 29, 2017, registered Jul 6, 2016 (-511 days) · Other · moved with a team
- W••• A••••••••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left Mar 24, 2009, registered Mar 17, 2009 (-7 days) · Other
- O•••• W•••••• I••• to W••• A•••••••••left Mar 23, 2009, registered Jul 29, 2005 (-1333 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to O•••• W•••••• I•••left Apr 4, 2005, registered Jul 28, 2005 (115 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