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.
D••••• R••••• R•••••••
- R•••••••• S••••••• independent RIA currentsince Jun 22, 2018 · Menlo Park, Ca
- R•••••••• S••••••• A••••••• formerApr 7, 2014 to Jan 12, 2018 · San Francisco, Ca
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Apr 8, 2014 · Minneapolis, Mn
- W•••• F•••• I••••••••• L•• unclassifiedJul 25, 2003 to Jan 3, 2011 · Palo Alto, Ca
- R•••••••• S••••••• A••••••• to R•••••••• S•••••••left Jan 12, 2018, registered Jun 22, 2018 (161 days) · channel change inside one enterprise, not a move · moved with a team
- W•••• F•••• A••••••• to R•••••••• S••••••• A•••••••left Apr 8, 2014, registered Apr 7, 2014 (-1 days) · Other
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
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