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•••••• D•••• P•••••
- R•• S••••••••• I••• BD affiliated currentsince Jul 13, 2020 · San Francisco, Ca
- E•••••• C•••••• M••••••••• L•• formerAug 23, 2017 to Jul 17, 2020 · Palo Alto, Ca
- B••••••• I••••••••• S•••••••• I••• ••••• formerMar 6, 2015 to Aug 30, 2017 · Concord, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDMay 18, 2006 to Oct 2, 2007 · San Francisco, Ca
- W•••• F•••• I••••••••• L•• unclassifiedOct 31, 2005 to May 3, 2006 · Moraga, Ca
- E•••••• C•••••• M••••••••• L•• to R•• S••••••••• I•••left Jul 17, 2020, registered Jul 13, 2020 (-4 days) · RIA to RIA
- B••••••• I••••••••• S•••••••• I••• ••••• to E•••••• C•••••• M••••••••• L••left Aug 30, 2017, registered Aug 23, 2017 (-7 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to B••••••• I••••••••• S•••••••• I••• •••••left Oct 2, 2007, registered Mar 6, 2015 (2712 days) · Other
- W•••• F•••• I••••••••• L•• to A••••••••• F•••••••• S•••••••• L••left May 3, 2006, registered May 18, 2006 (15 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address