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.
A•••••• L••••••• B•••••••
- T•••••• W•••••• L•• independent RIA currentsince Oct 23, 2023 · Los Altos, Ca
- U••••• C•••••• F•••••••• A••••••• independent RIADec 7, 2015 to Nov 3, 2023 · Los Altos, Ca
- B•••••• C•••••• M••••••••• I••• formerMar 24, 2008 to Mar 8, 2016 · Los Altos, Ca
- U••••• C•••••• F•••••••• A••••••• to T•••••• W•••••• L••left Nov 3, 2023, registered Oct 23, 2023 (-11 days) · Affiliated broker-dealer or bank to a newly registered adviser · moved with a team
- B•••••• C•••••• M••••••••• I••• to U••••• C•••••• F•••••••• A•••••••left Mar 8, 2016, registered Dec 7, 2015 (-92 days) · Other
- A•••••• L••••••• B••••••• left U••••• C•••••• F•••••••• A••••••• for T•••••• W•••••• L•• (registered 2023-10-23)Nov 3, 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address