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.
- F••••• I••••••••• independent RIA currentsince Oct 2, 2013 · Plano, Tx
- U•• F•••••••• S••••••• I••• wirehouseMar 4, 2009 to Sep 13, 2013 · San Francisco, Ca
- C••••• S••••• S••••••••• •••• L•• formerAug 19, 2005 to Mar 16, 2009 · San Francisco, Ca
- M••••• S•••••• D• I••• unclassifiedNov 1, 2004 to Aug 16, 2005 · San Francisc, Ca
- U•• F•••••••• S••••••• I••• to F••••• I•••••••••left Sep 13, 2013, registered Oct 2, 2013 (19 days) · Other
- C••••• S••••• S••••••••• •••• L•• to U•• F•••••••• S••••••• I•••left Mar 16, 2009, registered Mar 4, 2009 (-12 days) · Other
- M••••• S•••••• D• I••• to C••••• S••••• S••••••••• •••• L••left Aug 16, 2005, registered Aug 19, 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
- Independent wealth managerderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address