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••••• K••••• S•••• D••••••
- L•• F•••••••• L•• BD affiliated currentsince Aug 25, 2020 · Daly City, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• formerJan 30, 2019 to Apr 24, 2020 · Sunnyvale, Ca
- B••••••• I••••••••• S•••••••• I••• ••••• formerAug 15, 2012 to Nov 15, 2018 · Fremont, Ca
- V•••• F•••••••• A•••••••• I••• BD affiliatedSep 3, 2010 to Aug 16, 2012 · Oakland, Ca
- C•••• I••••••••• S••••••• C•••• formerMay 2, 2009 to Aug 13, 2010 · Berkeley, Ca
- W••• I••••••••• I••• unclassifiedOct 2, 2006 to May 2, 2009 · Berkeley, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• to L•• F•••••••• L••left Apr 24, 2020, registered Aug 25, 2020 (123 days) · Affiliated broker-dealer or bank to another
- B••••••• I••••••••• S•••••••• I••• ••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Nov 15, 2018, registered Jan 30, 2019 (76 days) · Affiliated broker-dealer or bank to another
- V•••• F•••••••• A•••••••• I••• to B••••••• I••••••••• S•••••••• I••• •••••left Aug 16, 2012, registered Aug 15, 2012 (-1 days) · Other
- C•••• I••••••••• S••••••• C•••• to V•••• F•••••••• A•••••••• I•••left Aug 13, 2010, registered Sep 3, 2010 (21 days) · Other
- W••• I••••••••• I••• to C•••• I••••••••• S••••••• C••••left May 2, 2009, registered May 2, 2009 (0 days) · corporate re-registration, not a move
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