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.
D•••• C••••
- M•• I•••••••• S•••••••• L•• BD affiliated currentsince Mar 25, 2017 · Pleasanton, Ca
- M•• F•••••••• S•••••••• I••• formerApr 21, 2009 to Mar 25, 2017 · Walnut Creek, Ca
- N••••••••• S••••••••• L•• no RAUMAug 1, 2008 to Dec 19, 2008 · Walnut Creek, Ca
- 1••• C•••••• M••••••••• C•••••• unclassifiedJul 18, 2008 to Aug 1, 2008 · Walnut Creek, Ca
- M•• F•••••••• S•••••••• I••• formerNov 13, 2006 to Feb 27, 2008 · Walnut Creek, Ca
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
- N••••••••• S••••••••• L•• to M•• F•••••••• S•••••••• I•••left Dec 19, 2008, registered Apr 21, 2009 (123 days) · Other
- 1••• C•••••• M••••••••• C•••••• to N••••••••• S••••••••• L••left Aug 1, 2008, registered Aug 1, 2008 (0 days) · corporate re-registration, not a move
- M•• F•••••••• S•••••••• I••• to 1••• C•••••• M••••••••• C••••••left Feb 27, 2008, registered Jul 18, 2008 (142 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address