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.
J•••••• C•••••• C•••••
- M••••• S•••••• wirehouse currentsince Apr 6, 2023 · Walnut Creek, Ca
- J••• M••••• P•••••• W••••• A••••••• L•• formerApr 23, 2014 to May 3, 2023 · San Francisco, Ca
- W•• I••••••••• I••• formerMay 14, 2007 to Sep 19, 2014 · San Francisco, Ca
- J••• M••••• P•••••• W••••• A••••••• L•• to M••••• S••••••left May 3, 2023, registered Apr 6, 2023 (-27 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- W•• I••••••••• I••• to J••• M••••• P•••••• W••••• A••••••• L••left Sep 19, 2014, registered Apr 23, 2014 (-149 days) · Other
- J•••••• C•••••• C••••• left J••• M••••• P•••••• W••••• A••••••• L•• for M••••• S•••••• (registered 2023-04-06)May 3, 2023 · Advisor changed firm · fact
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
- Wirehousederived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address