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.
- P••••••• independent RIA currentsince Dec 7, 2017 · Walnut Creek, Ca
- A•••••• W••••• M••••••••• unclassifiedApr 24, 2012 to Apr 9, 2015 · Walnut Creek, Ca
- L•• F•••••••• L•• BD affiliatedJun 15, 2007 to Aug 28, 2013 · Walnut Creek, Ca
- M•• I•••••••• S•••••••• L•• BD affiliatedSep 29, 2004 to Jun 18, 2007 · Walnut Creek, Ca
- A•••••• W••••• M••••••••• to P•••••••left Apr 9, 2015, registered Dec 7, 2017 (973 days) · Other
- L•• F•••••••• L•• to A•••••• W••••• M•••••••••left Aug 28, 2013, registered Apr 24, 2012 (-491 days) · Other
- M•• I•••••••• S•••••••• L•• to L•• F•••••••• L••left Jun 18, 2007, registered Jun 15, 2007 (-3 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