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.
A••• G••••••• C••••
- D•• T••• I••••••••• A••••••• state registered currentsince Feb 25, 2019 · San Francisco, Ca
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Apr 14, 2010 · San Francisco, Ca
- N••• F•••••••• G••••• I••• formerMay 18, 2007 to Mar 31, 2010 · Houston, Tx
- B••••• • Y•••• A•••••••• I••• formerMay 7, 2007 to May 23, 2007 · San Francisco, Ca
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to May 10, 2007 · Oakland, Ca
- M••••• S•••••• D• I••• unclassifiedAug 28, 2003 to Apr 2, 2007 · Oakland, Ca
- N••• F•••••••• G••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Mar 31, 2010, registered Apr 14, 2010 (14 days) · Other
- B••••• • Y•••• A•••••••• I••• to N••• F•••••••• G••••• I•••left May 23, 2007, registered May 18, 2007 (-5 days) · Other
- M••••• S•••••• • C•• L•• to B••••• • Y•••• A•••••••• I•••left May 10, 2007, registered May 7, 2007 (-3 days) · Other
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address