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•••••• E•••• L•••••
- C•••••• L••••• I••••••••• independent RIA currentsince Nov 13, 2014 · Walnut Creek, Ca
- C•••••• W••••• M••••••••• formerSep 2, 2011 to Apr 14, 2015 · Walnut Creek, Ca
- V•••••••• C•••••• A•••• M••••••••• I••• formerFeb 20, 2008 to Sep 9, 2011 · San Ramon, Ca
- G••••• W••••• M••••••••• I••• BD affiliatedMay 1, 2007 to Feb 21, 2008 · San Ramon, Ca
- T• A••••••••• I••••••••• M••••••••• L•• formerApr 25, 2006 to Mar 12, 2007 · San Rafael, Ca
- T• A••••••••• I••• formerJan 17, 2006 to Mar 12, 2007 · Corte Madera, Ca
- M••••• S•••••• D• I••• unclassifiedMar 29, 2004 to Mar 7, 2005 · San Francisc, Ca
- C•••••• W••••• M••••••••• to C•••••• L••••• I•••••••••left Apr 14, 2015, registered Nov 13, 2014 (-152 days) · Other
- V•••••••• C•••••• A•••• M••••••••• I••• to C•••••• W••••• M•••••••••left Sep 9, 2011, registered Sep 2, 2011 (-7 days) · Other
- G••••• W••••• M••••••••• I••• to V•••••••• C•••••• A•••• M••••••••• I•••left Feb 21, 2008, registered Feb 20, 2008 (-1 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to G••••• W••••• M••••••••• I•••left Mar 12, 2007, registered May 1, 2007 (50 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Mar 12, 2007, registered Apr 25, 2006 (-321 days) · channel change inside one enterprise, not a move
- M••••• S•••••• D• I••• to T• A••••••••• I•••left Mar 7, 2005, registered Jan 17, 2006 (316 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