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.
- W•••• F•••• A••••••• wirehouse currentsince Dec 1, 2016 · Walnut Creek, Ca
- E•••••• C•••••• M••••••••• L•• formerSep 4, 2015 to Nov 2, 2016 · Palo Alto, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 9, 2014 to Aug 25, 2015 · Oakland, Ca
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Jun 10, 2014 · Hayward, Ca
- W•••• F•••• I••••••••• L•• unclassifiedAug 1, 2008 to Jan 3, 2011 · Hayward, Ca
- W•••• F•••• I••••••••• L•• unclassifiedDec 8, 2005 to Oct 17, 2006 · Berkeley, Ca
- E•••••• C•••••• M••••••••• L•• to W•••• F•••• A•••••••left Nov 2, 2016, registered Dec 1, 2016 (29 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E•••••• C•••••• M••••••••• L••left Aug 25, 2015, registered Sep 4, 2015 (10 days) · Other
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 10, 2014, registered Jun 9, 2014 (-1 days) · Wirehouse to wirehouse
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 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
- Wirehousederived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address