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•••••••• B••••••••
- D••••••••• F••• A••••••• L• asset manager currentsince Aug 12, 2022 · Austin, Tx
- L•• F•••••••• I••• formerJan 7, 2014 to Jul 11, 2017 · San Jose, Ca
- J••• M••••• S••••••••• L•• wirehouseSep 23, 2013 to Oct 21, 2013 · Los Angeles, Ca
- B•••••••• F••••••••• I••• independent RIANov 1, 2007 to Sep 18, 2009 · The Woodlands, Tx
- L•• F•••••••• I••• formerJan 1, 2006 to Jul 25, 2006 · San Jose, Ca
- L•• F•••••••• I••• to D••••••••• F••• A••••••• L•left Jul 11, 2017, registered Aug 12, 2022 (1858 days) · Other
- J••• M••••• S••••••••• L•• to L•• F•••••••• I•••left Oct 21, 2013, registered Jan 7, 2014 (78 days) · Other
- B•••••••• F••••••••• I••• to J••• M••••• S••••••••• L••left Sep 18, 2009, registered Sep 23, 2013 (1466 days) · Other
- L•• F•••••••• I••• to B•••••••• F••••••••• I•••left Jul 25, 2006, registered Nov 1, 2007 (464 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
- Asset manager (funds and pooled vehicles)derived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address