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••••• A•••••• C••••••••
- S••••• W••••• A•• R••••••••• P••••••• independent RIA currentsince Jan 6, 2017 · Eagle, Id
- S••••• W••••• A•• R••••••••• P••••••• unclassifiedSep 12, 2012 to May 10, 2017 · Danville, Ca
- V•• A••••••• S••••••• formerAug 31, 2012 to Jul 1, 2016 · Walnut Creek, Ca
- O•••• F•• I••• formerFeb 6, 2004 to Sep 6, 2012 · San Ramon, Ca
- S••••• W••••• A•• R••••••••• P••••••• to S••••• W••••• A•• R••••••••• P•••••••left May 10, 2017, registered Jan 6, 2017 (-124 days) · Other · moved with a team
- V•• A••••••• S••••••• to S••••• W••••• A•• R••••••••• P•••••••left Jul 1, 2016, registered Sep 12, 2012 (-1388 days) · Other · moved with a team
- O•••• F•• I••• to V•• A••••••• S•••••••left Sep 6, 2012, registered Aug 31, 2012 (-6 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