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.
C•••• C•••••• C••••••
- C•••••• L••••• I••••••••• independent RIA currentsince Jan 2, 2025 · Walnut Creek, Ca
- C•••••• W••••• M••••••••• formerSep 2, 2011 to Dec 26, 2014 · Walnut Creek, Ca
- V•••••••• C•••••• A•••• M••••••••• I••• formerFeb 20, 2008 to Sep 9, 2011 · San Ramon, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 30, 2002 to Nov 28, 2007 · Buffalo, Ny
- C•••••• W••••• M••••••••• to C•••••• L••••• I•••••••••left Dec 26, 2014, registered Jan 2, 2025 (3660 days) · Other
- V•••••••• C•••••• A•••• M••••••••• I••• to C•••••• W••••• M•••••••••left Sep 9, 2011, registered Sep 2, 2011 (-7 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to V•••••••• C•••••• A•••• M••••••••• I•••left Nov 28, 2007, registered Feb 20, 2008 (84 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
- Independent wealth managerderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address