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••••• M•••••• B••••
- M•••• B•••• A•••• M••••••••• state registered currentsince Jul 26, 2016 · San Rafael, Ca
- P•• A••••••• independent RIAJun 18, 2015 to Aug 12, 2016 · Santa Rosa, Ca
- L•• F•••••••• L•• BD affiliatedSep 17, 2012 to Jul 1, 2016 · Santa Rosa, Ca
- W•••• F•••• A••••••• wirehouseMar 21, 2011 to Sep 18, 2012 · Santa Rosa, Ca
- C•••• I••••••••• S••••••• C•••• formerMay 2, 2009 to Mar 21, 2011 · Santa Rosa, Ca
- W••• I••••••••• I••• unclassifiedNov 19, 2008 to May 2, 2009 · Santa Rosa, Ca
- M••••• S•••••• • C•• L•• unclassifiedJun 5, 2008 to Oct 28, 2008 · Santa Rosa, Ca
- W•••• F•••• A••••••• wirehouseFeb 5, 2008 to Mar 3, 2008 · Santa Rosa, Ca
- R•• C•••••• M••••••• L•• national BDJan 16, 2006 to Sep 27, 2007 · Santa Rosa, Ca
- P•• A••••••• to M•••• B•••• A•••• M•••••••••left Aug 12, 2016, registered Jul 26, 2016 (-17 days) · Other
- L•• F•••••••• L•• to P•• A•••••••left Jul 1, 2016, registered Jun 18, 2015 (-379 days) · Other
- W•••• F•••• A••••••• to L•• F•••••••• L••left Sep 18, 2012, registered Sep 17, 2012 (-1 days) · Other
- C•••• I••••••••• S••••••• C•••• to W•••• F•••• A•••••••left Mar 21, 2011, registered Mar 21, 2011 (0 days) · Other
- W••• I••••••••• I••• to C•••• I••••••••• S••••••• C••••left May 2, 2009, registered May 2, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• • C•• L•• to W••• I••••••••• I•••left Oct 28, 2008, registered Nov 19, 2008 (22 days) · Other
- W•••• F•••• A••••••• to M••••• S•••••• • C•• L••left Mar 3, 2008, registered Jun 5, 2008 (94 days) · Other
- R•• C•••••• M••••••• L•• to W•••• F•••• A•••••••left Sep 27, 2007, registered Feb 5, 2008 (131 days) · Affiliated broker-dealer or bank to wirehouse
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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address