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••••••• B•••••
- J••• M••••• S••••••••• L•• wirehouse currentsince May 20, 2022 · Napa , Ca
- B••••••• I••••••••• S•••••••• I••• ••••• formerMay 11, 2012 to May 13, 2022 · Napa, Ca
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to May 22, 2012 · Napa, Ca
- W•••• F•••• I••••••••• L•• unclassifiedOct 1, 2008 to Jan 3, 2011 · Napa, Ca
- W•••• F•••• A••••••• wirehouseMay 22, 2007 to Sep 22, 2008 · Napa, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedMar 23, 2006 to May 9, 2007 · Fairfield, Ca
- W•••• F•••• I••••••••• L•• unclassifiedJul 27, 2005 to Feb 23, 2006 · Novato, Ca
- B••••••• I••••••••• S•••••••• I••• ••••• to J••• M••••• S••••••••• L••left May 13, 2022, registered May 20, 2022 (7 days) · Affiliated broker-dealer or bank to wirehouse
- W•••• F•••• A••••••• to B••••••• I••••••••• S•••••••• I••• •••••left May 22, 2012, registered May 11, 2012 (-11 days) · Other
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to W•••• F•••• I••••••••• L••left Sep 22, 2008, registered Oct 1, 2008 (9 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to W•••• F•••• A•••••••left May 9, 2007, registered May 22, 2007 (13 days) · Other
- W•••• F•••• I••••••••• L•• to B••• O• A•••••• I••••••••• S•••••••• I•••left Feb 23, 2006, registered Mar 23, 2006 (28 days) · Other
- M••••••• B••••• left B••••••• I••••••••• S•••••••• I••• ••••• for J••• M••••• S••••••••• L•• (registered 2022-05-20)May 13, 2022 · 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
- Wirehousederived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address