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.
R••••• T••••• M••••••
- C•••••• R••• F•••••••• P••••••• • I••••••••• M••••••••• state registered currentsince Jun 20, 2018 · Palm Springs, Ca
- C•••••• R••• F•••••••• P••••••• • I••••••••• M••••••••• state registeredOct 18, 2010 to Dec 31, 2013 · Palm Springs, Ca
- L•• F•••••••• L•• BD affiliatedFeb 16, 2006 to Aug 15, 2006 · San Rafael, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDJun 27, 2005 to Feb 3, 2006 · San Francisco, Ca
- L•• F•••••••• L•• to C•••••• R••• F•••••••• P••••••• • I••••••••• M•••••••••left Aug 15, 2006, registered Oct 18, 2010 (1525 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••left Feb 3, 2006, registered Feb 16, 2006 (13 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
- STATE REGISTEREDderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address