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.
D•••• O•••••
- W•••• F•••• A••••••• wirehouse currentsince Sep 16, 2016 · Montecito, Ca
- J••• M••••• S••••••••• L•• wirehouseDec 4, 2012 to Sep 27, 2016 · Port Hueneme, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedJun 12, 2012 to Dec 17, 2012 · New York, Ny
- C•••• I••••••••• S••••••• C•••• formerJul 25, 2006 to Jun 4, 2012 · Dripping Springs, Tx
- E•••• N••••••• S••••••••• I••• formerMar 29, 2006 to Jul 25, 2006 · New York, Ny
- C••••••• I••••••••• S••••••• unclassifiedFeb 3, 2006 to Mar 7, 2006 · New York, Ny
- W•••• F•••• I••••••••• L•• unclassifiedMar 2, 2005 to Dec 14, 2005 · San Francisco, Ca
- J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••left Sep 27, 2016, registered Sep 16, 2016 (-11 days) · Wirehouse to wirehouse
- C•••••••• G••••• M•••••• I••• to J••• M••••• S••••••••• L••left Dec 17, 2012, registered Dec 4, 2012 (-13 days) · Other
- C•••• I••••••••• S••••••• C•••• to C•••••••• G••••• M•••••• I•••left Jun 4, 2012, registered Jun 12, 2012 (8 days) · Other
- E•••• N••••••• S••••••••• I••• to C•••• I••••••••• S••••••• C••••left Jul 25, 2006, registered Jul 25, 2006 (0 days) · Other
- C••••••• I••••••••• S••••••• to E•••• N••••••• S••••••••• I•••left Mar 7, 2006, registered Mar 29, 2006 (22 days) · Other
- W•••• F•••• I••••••••• L•• to C••••••• I••••••••• S•••••••left Dec 14, 2005, registered Feb 3, 2006 (51 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
- Wirehousederived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address