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•••• L••
- B••••• P••••• A•••••••• L•• independent RIA currentsince Nov 4, 2011 · Newport Beach, Ca
- B••••• P••••• W••••• A•••••••• L•• formerSep 16, 2011 to Apr 27, 2020 · Milpitas, Ca
- E••••••• F•••••••• G••••• L••• unclassifiedOct 20, 2010 to Oct 31, 2011 · San Jose, Ca
- E••••••• C•••••• M••••••••• L•• unclassifiedApr 2, 2008 to Nov 4, 2010 · Santa Clara, Ca
- A•• A•••••• S••••••• L•• unclassifiedJul 11, 2007 to Apr 29, 2010 · Santa Clara, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDOct 4, 2004 to Oct 20, 2005 · Santa Clara, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDOct 29, 2003 to May 3, 2004 · Campbell, Ca
- B••••• P••••• W••••• A•••••••• L•• to B••••• P••••• A•••••••• L••left Apr 27, 2020, registered Nov 4, 2011 (-3097 days) · corporate re-registration, not a move
- E••••••• F•••••••• G••••• L••• to B••••• P••••• W••••• A•••••••• L••left Oct 31, 2011, registered Sep 16, 2011 (-45 days) · Other
- E••••••• C•••••• M••••••••• L•• to E••••••• F•••••••• G••••• L•••left Nov 4, 2010, registered Oct 20, 2010 (-15 days) · Other
- A•• A•••••• S••••••• L•• to E••••••• C•••••• M••••••••• L••left Apr 29, 2010, registered Apr 2, 2008 (-757 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to A•• A•••••• S••••••• L••left Oct 20, 2005, registered Jul 11, 2007 (629 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