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.
M•••••• A•••• M••••
- A•••• W••••• M••••••••• state registered currentsince Apr 14, 2023 · Danville, Ca
- O•••• F•• I••• formerSep 6, 2016 to Apr 4, 2023 · Danville, Ca
- S••••••••• A•••••• A•••••••• I••• formerDec 16, 2014 to Sep 7, 2016 · Larkspur, Ca
- B••••••• I••••••••• S•••••••• I••• ••••• formerJun 3, 2014 to Jan 5, 2015 · San Ramon, Ca
- V•••• F•••••••• A•••••••• I••• BD affiliatedApr 21, 2004 to Jun 12, 2014 · Oakland, Ca
- O•••• F•• I••• to A•••• W••••• M•••••••••left Apr 4, 2023, registered Apr 14, 2023 (10 days) · Affiliated broker-dealer or bank to a state-registered adviser
- S••••••••• A•••••• A•••••••• I••• to O•••• F•• I•••left Sep 7, 2016, registered Sep 6, 2016 (-1 days) · Other
- B••••••• I••••••••• S•••••••• I••• ••••• to S••••••••• A•••••• A•••••••• I•••left Jan 5, 2015, registered Dec 16, 2014 (-20 days) · Other
- V•••• F•••••••• A•••••••• I••• to B••••••• I••••••••• S•••••••• I••• •••••left Jun 12, 2014, registered Jun 3, 2014 (-9 days) · Other
- M•••••• A•••• M•••• left O•••• F•• I••• for A•••• W••••• M••••••••• (registered 2023-04-14)Apr 4, 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
- STATE REGISTEREDderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address