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.
W•••• Z••••
- O••••••••• • C•• I••• BD affiliated currentsince Sep 13, 2022 · San Francisco, Ca
- J••• M••••• S••••••••• L•• wirehouseSep 7, 2021 to Sep 10, 2022 · San Francisco, Ca
- U•• F•••••••• S••••••• I••• wirehouseAug 9, 2013 to Sep 2, 2021 · Palo Alto, Ca
- J••• M••••• S••••••••• L•• to O••••••••• • C•• I•••left Sep 10, 2022, registered Sep 13, 2022 (3 days) · Wirehouse to affiliated broker-dealer or bank
- U•• F•••••••• S••••••• I••• to J••• M••••• S••••••••• L••left Sep 2, 2021, registered Sep 7, 2021 (5 days) · Wirehouse to wirehouse
- W•••• Z•••• left J••• M••••• S••••••••• L•• for O••••••••• • C•• I••• (registered 2022-09-13)Sep 10, 2022 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address