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•••••• D•••• G•••••••
- M•••••• BD affiliated currentsince Jun 4, 2018 · San Diego, Ca
- L•• F•••••••• L•• BD affiliatedMar 16, 2018 to May 30, 2018 · San Diego, Ca
- S•••••••• A••••••• L•• national BDJun 8, 2011 to Mar 24, 2017 · San Francisco, Ca
- W•••• W••• W••••• L•• unclassifiedSep 10, 2010 to Nov 2, 2010 · San Francisco, Ca
- C•••• I••••••••• S••••••• C•••• formerOct 29, 2009 to Jul 13, 2010 · San Francisco, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 5, 2008 to Feb 12, 2009 · Rolling Hills Estates, Ca
- L•• F•••••••• L•• to M••••••left May 30, 2018, registered Jun 4, 2018 (5 days) · RIA to RIA
- S•••••••• A••••••• L•• to L•• F•••••••• L••left Mar 24, 2017, registered Mar 16, 2018 (357 days) · Affiliated broker-dealer or bank to independent RIA
- W•••• W••• W••••• L•• to S•••••••• A••••••• L••left Nov 2, 2010, registered Jun 8, 2011 (218 days) · Other
- C•••• I••••••••• S••••••• C•••• to W•••• W••• W••••• L••left Jul 13, 2010, registered Sep 10, 2010 (59 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••• I••••••••• S••••••• C••••left Feb 12, 2009, registered Oct 29, 2009 (259 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
- 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