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••••••• C•••• C•••••••
- F•••••• F•••••••• A•••••••• L•• former currentsince Apr 26, 2019 · Santa Clara, Ca
- P••••••••• F•••••••• G••••• I••• formerJul 19, 2017 to Aug 2, 2019 · Santa Clara, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDDec 3, 2012 to Jun 26, 2017 · San Jose, Ca
- P••••••••• F•••••••• G••••• I••• to F•••••• F•••••••• A•••••••• L••left Aug 2, 2019, registered Apr 26, 2019 (-98 days) · RIA to a newly registered adviser · moved with a team
- A••••••••• F•••••••• S•••••••• L•• to P••••••••• F•••••••• G••••• I•••left Jun 26, 2017, registered Jul 19, 2017 (23 days) · Other · moved with a team
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
- Former SEC-registered adviserderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address