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•••••• P•••••• A•••••
- T•• R••• E••••• W••••••••• state registered currentsince Jan 30, 2023 · Monument, Co
- F•••••••• A•••••••• I••••••••• M••••••••• formerOct 22, 2021 to Dec 17, 2021 · Olympia, Wa
- C••••••••• W••••• M••••••••• I••• unclassifiedMar 11, 2011 to Dec 20, 2021 · San Ramon, Ca
- L•• F•••••••• L•• BD affiliatedSep 8, 2009 to Dec 22, 2021 · San Ramon, Ca
- C••••••••• W••••• M••••••••• I••• unclassifiedJan 8, 2009 to Dec 31, 2010 · San Ramon, Ca
- A••••••••• S••••••••• C•••• unclassifiedDec 11, 2008 to Sep 8, 2009 · San Mateo, Ca
- F•• S••••••••• C••••••••• formerMay 26, 2004 to Dec 12, 2008 · Walnut Creek, Ca
- O•••• F•• I••• formerApr 30, 2003 to Apr 22, 2004 · San Ramon, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDMar 19, 2003 to Apr 1, 2003 · Walnut Creek, Ca
- L•• F•••••••• L•• to C••••••••• W••••• M••••••••• I•••left Dec 22, 2021, registered Mar 11, 2011 (-3939 days) · Other
- C••••••••• W••••• M••••••••• I••• to F•••••••• A•••••••• I••••••••• M•••••••••left Dec 20, 2021, registered Oct 22, 2021 (-59 days) · Other
- F•••••••• A•••••••• I••••••••• M••••••••• to T•• R••• E••••• W•••••••••left Dec 17, 2021, registered Jan 30, 2023 (409 days) · RIA to a state-registered adviser
- C••••••••• W••••• M••••••••• I••• to L•• F•••••••• L••left Dec 31, 2010, registered Sep 8, 2009 (-479 days) · Other
- A••••••••• S••••••••• C•••• to C••••••••• W••••• M••••••••• I•••left Sep 8, 2009, registered Jan 8, 2009 (-243 days) · Other
- F•• S••••••••• C••••••••• to A••••••••• S••••••••• C••••left Dec 12, 2008, registered Dec 11, 2008 (-1 days) · Other
- O•••• F•• I••• to F•• S••••••••• C•••••••••left Apr 22, 2004, registered May 26, 2004 (34 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to O•••• F•• I•••left Apr 1, 2003, registered Apr 30, 2003 (29 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
- STATE REGISTEREDderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address