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.
- S•• A•••• M••••••••• other currentsince Nov 2, 2010 · Irvine, Ca
- B•••••••• F••• A••••••• asset managerApr 11, 2008 to Dec 1, 2009 · San Francisco, Ca
- U•• F•••••••• S••••••• I••• wirehouseMar 7, 2007 to Mar 12, 2008 · Newport Beach, Ca
- B•••••••• F••• A••••••• to S•• A•••• M•••••••••left Dec 1, 2009, registered Nov 2, 2010 (336 days) · Other
- U•• F•••••••• S••••••• I••• to B•••••••• F••• A•••••••left Mar 12, 2008, registered Apr 11, 2008 (30 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
- Other adviserderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address