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.
S••••• R• W••••••
- K•••• A••••••• R•••••• I••••••••• M••••••••• L•• mixed wealth currentsince May 18, 2016 · Los Angeles, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedAug 8, 2014 to Feb 17, 2016 · San Francisco, Ca
- J••• M••••• S••••••••• L•• wirehouseAug 18, 2011 to Aug 13, 2014 · Danville, Ca
- B••••••• C•••••• I••• formerSep 6, 2010 to Aug 31, 2011 · San Francisco, Ca
- C•••••••• G••••• M•••••• I••• to K•••• A••••••• R•••••• I••••••••• M••••••••• L••left Feb 17, 2016, registered May 18, 2016 (91 days) · Other
- J••• M••••• S••••••••• L•• to C•••••••• G••••• M•••••• I•••left Aug 13, 2014, registered Aug 8, 2014 (-5 days) · Other
- B••••••• C•••••• I••• to J••• M••••• S••••••••• L••left Aug 31, 2011, registered Aug 18, 2011 (-13 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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address