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.
J••••• S•••• W•••
- G•• A•••• M••••••••• L•• independent RIA currentsince Apr 15, 2024 · Weinfelden
- G•• A•••• M••••••••• L•• independent RIAOct 30, 2023 to Dec 31, 2023 · Basel
- H•••••••• A•••••••• L•• BD affiliatedFeb 11, 2020 to May 1, 2023 · San Francisco, Ca
- S•••••• C•••••• formerDec 28, 2001 to Mar 31, 2020 · San Francisco, Ca
- H•••••••• A•••••••• L•• to G•• A•••• M••••••••• L••left May 1, 2023, registered Oct 30, 2023 (182 days) · Affiliated broker-dealer or bank to independent RIA
- S•••••• C•••••• to H•••••••• A•••••••• L••left Mar 31, 2020, registered Feb 11, 2020 (-49 days) · RIA to affiliated broker-dealer or bank · moved with a team
- J••••• S•••• W••• left H•••••••• A•••••••• L•• for G•• A•••• M••••••••• L•• (registered 2023-10-30)May 1, 2023 · Advisor changed firm · fact
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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address