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.
- C••••••• P••••••• independent RIA currentsince Jan 8, 2021 · Overland Park, Ks
- I••• F•••••••• L•• independent RIAJul 28, 2015 to Jan 4, 2021 · Alameda, Ca
- W••••• A•••••••• L•• otherJun 2, 2009 to May 24, 2019 · Orinda, Ca
- W•••••• • R••• formerNov 17, 2005 to Jan 29, 2008 · Concord, Ca
- I••• F•••••••• L•• to C••••••• P•••••••left Jan 4, 2021, registered Jan 8, 2021 (4 days) · Other · moved with a team
- W••••• A•••••••• L•• to I••• F•••••••• L••left May 24, 2019, registered Jul 28, 2015 (-1396 days) · Other
- W•••••• • R••• to W••••• A•••••••• L••left Jan 29, 2008, registered Jun 2, 2009 (490 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