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.
J•••• C•••••• A•••••
- M••••• S•••••• wirehouse currentsince Jul 10, 2020 · Claremont, Ca
- W•••• F•••• A••••••• wirehouseJul 1, 2013 to Jul 15, 2020 · Rancho Cucamonga, Ca
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Jul 2, 2013 · San Dimas, Ca
- C•••• I••••••••• S••••••• C•••• formerMay 2, 2009 to Oct 1, 2012 · Walnut Creek, Ca
- W••• I••••••••• I••• unclassifiedNov 26, 2007 to May 2, 2009 · Walnut Creek, Ca
- G•••••••• M••••• • A••••••••• formerJan 8, 2007 to Nov 21, 2007 · San Ramon, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedAug 3, 2005 to Sep 8, 2006 · San Francisco, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedMar 3, 2005 to Aug 4, 2005 · San Francisco, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedSep 21, 2004 to Feb 28, 2005 · Westlake Village, Ca
- W•••• F•••• A••••••• to M••••• S••••••left Jul 15, 2020, registered Jul 10, 2020 (-5 days) · Wirehouse to wirehouse
- J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••left Jul 2, 2013, registered Jul 1, 2013 (-1 days) · Wirehouse to wirehouse
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- W••• I••••••••• I••• to C•••• I••••••••• S••••••• C••••left May 2, 2009, registered May 2, 2009 (0 days) · corporate re-registration, not a move
- G•••••••• M••••• • A••••••••• to W••• I••••••••• I•••left Nov 21, 2007, registered Nov 26, 2007 (5 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to G•••••••• M••••• • A•••••••••left Sep 8, 2006, registered Jan 8, 2007 (122 days) · Other
- C•••••••• G••••• M•••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Aug 4, 2005, registered Aug 3, 2005 (-1 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to C•••••••• G••••• M•••••• I•••left Feb 28, 2005, registered Mar 3, 2005 (3 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
- Wirehousederived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address