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•••••• L•••••• W••••••••
- S••••••••• A•••• M••••••••• L•• independent RIA currentsince Jan 16, 2023 · San Francisco, Ca
- E•••••• C•••••• M••••••••• L•• formerOct 25, 2017 to Jun 11, 2019 · San Francisco, Ca
- L•••• A••••• • C•• L•• asset managerApr 7, 2014 to Aug 7, 2017 · Jersey City, Nj
- E•••••••• A•••••••• L•• national BDOct 13, 2008 to Apr 1, 2014 · Flushing, Ny
- E•••••• C•••••• M••••••••• L•• to S••••••••• A•••• M••••••••• L••left Jun 11, 2019, registered Jan 16, 2023 (1315 days) · RIA to RIA
- L•••• A••••• • C•• L•• to E•••••• C•••••• M••••••••• L••left Aug 7, 2017, registered Oct 25, 2017 (79 days) · Other
- E•••••••• A•••••••• L•• to L•••• A••••• • C•• L••left Apr 1, 2014, registered Apr 7, 2014 (6 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