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.
V••••••• R••••
- C••••• P••••••• L•• independent RIA currentsince Nov 2, 2022 · San Francisco, Ca
- M••••• G••••• A••••••• I••• independent RIAApr 14, 2021 to Oct 20, 2022 · San Francisco, Ca
- C•••••• S••••• • C••• I••• national BDSep 9, 2013 to Mar 23, 2021 · Corte Madera, Ca
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Aug 8, 2013 · Corte Madera, Ca
- C•••• I••••••••• S••••••• C•••• formerAug 2, 2012 to Oct 1, 2012 · Corte Madera, Ca
- S•••••••• A••••••• L•• national BDSep 14, 2010 to Jul 24, 2012 · Walnut Creek, Ca
- M••••• G••••• A••••••• I••• to C••••• P••••••• L••left Oct 20, 2022, registered Nov 2, 2022 (13 days) · RIA to RIA
- C•••••• S••••• • C••• I••• to M••••• G••••• A••••••• I•••left Mar 23, 2021, registered Apr 14, 2021 (22 days) · Affiliated broker-dealer or bank to independent RIA
- J••• M••••• S••••••••• L•• to C•••••• S••••• • C••• I•••left Aug 8, 2013, registered Sep 9, 2013 (32 days) · Wirehouse to affiliated broker-dealer or bank
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- S•••••••• A••••••• L•• to C•••• I••••••••• S••••••• C••••left Jul 24, 2012, registered Aug 2, 2012 (9 days) · Other
- V••••••• R•••• left M••••• G••••• A••••••• I••• for C••••• P••••••• L•• (registered 2022-11-02)Oct 20, 2022 · 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
- Independent wealth managerderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address