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.
T•••••• R••••• R•••
- C•••••• A•••• M••••••••• L•• independent RIA currentsince Apr 21, 2023 · Chicago, Il
- J••• M••••• P•••••• W••••• A••••••• L•• formerMay 21, 2018 to May 17, 2023 · Palo Alto, Ca
- C••••••••• W••••• A••••••• L•• formerMar 12, 2008 to Dec 31, 2010 · Menlo Park, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 16, 2005 to Mar 17, 2008 · Menlo Park, Ca
- J••• M••••• P•••••• W••••• A••••••• L•• to C•••••• A•••• M••••••••• L••left May 17, 2023, registered Apr 21, 2023 (-26 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- C••••••••• W••••• A••••••• L•• to J••• M••••• P•••••• W••••• A••••••• L••left Dec 31, 2010, registered May 21, 2018 (2698 days) · Other
- C•••••••• G••••• M•••••• I••• to C••••••••• W••••• A••••••• L••left Mar 17, 2008, registered Mar 12, 2008 (-5 days) · Other
- T•••••• R••••• R••• left J••• M••••• P•••••• W••••• A••••••• L•• for C•••••• A•••• M••••••••• L•• (registered 2023-04-21)May 17, 2023 · 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
- Independent wealth managerderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address