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••• C•••••• O••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Apr 22, 2020 · San Francisco, Ca
- R•• S••••••••• I••• BD affiliatedDec 7, 2018 to Mar 17, 2020 · Walnut Creek, Ca
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Nov 27, 2018 · Sacramento, Ca
- W•••• F•••• I••••••••• L•• unclassifiedOct 21, 2005 to Jan 3, 2011 · Reseda, Ca
- R•• S••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 17, 2020, registered Apr 22, 2020 (36 days) · RIA to wirehouse
- W•••• F•••• A••••••• to R•• S••••••••• I•••left Nov 27, 2018, registered Dec 7, 2018 (10 days) · Wirehouse to independent RIA
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address