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•••••• E••••• E••••••••
- W•••• F•••• A••••••• wirehouse currentsince May 23, 2022 · San Francisco, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDMar 29, 2018 to May 31, 2022 · San Francisco, Ca
- E••••• J•••• national BDSep 27, 2016 to Mar 28, 2018 · Santa Barbara, Ca
- A••••••••• F•••••••• S•••••••• L•• to W•••• F•••• A•••••••left May 31, 2022, registered May 23, 2022 (-8 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- E••••• J•••• to A••••••••• F•••••••• S•••••••• L••left Mar 28, 2018, registered Mar 29, 2018 (1 days) · Affiliated broker-dealer or bank to another
- M•••••• E••••• E•••••••• left A••••••••• F•••••••• S•••••••• L•• for W•••• F•••• A••••••• (registered 2022-05-23)May 31, 2022 · Advisor changed firm · fact
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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address