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••••• A••• R••••••
- V••••• W••••• S••••••••• L•• independent RIA currentsince Oct 20, 2017 · Lodi, Ca
- V••••• W••••• S••••••••• unclassifiedJan 4, 2017 to Dec 31, 2017 · Napa, Ca
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerApr 9, 2009 to Nov 29, 2017 · Lake Forest, Ca
- V••• F•••••••• P•••••••• L•• formerApr 3, 2007 to Apr 3, 2009 · Springfield, Ma
- V••••• W••••• S••••••••• to V••••• W••••• S••••••••• L••left Dec 31, 2017, registered Oct 20, 2017 (-72 days) · Other · moved with a team
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to V••••• W••••• S•••••••••left Nov 29, 2017, registered Jan 4, 2017 (-329 days) · Other · moved with a team
- V••• F•••••••• P•••••••• L•• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left Apr 3, 2009, registered Apr 9, 2009 (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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address