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.
G••••• P••••• P•••••
- U•• F•••••••• S••••••• I••• wirehouse currentsince Nov 15, 2016 · Riverview, Fl
- C•••••• S••••• • C••• I••• national BDMar 13, 2013 to Nov 11, 2016 · San Francisco, Ca
- V••• F•••••••• A•••••••• I••• BD affiliatedJan 17, 2013 to Feb 14, 2013 · Oakland, Ca
- V••• F•••••••• P•••••••• L•• formerJan 17, 2013 to Feb 14, 2013 · Oakland, Ca
- V••• R••••••••• A•••••••• L•• otherJan 17, 2013 to Feb 14, 2013 · Oakland, Ca
- A••••••• E•••••••• I••• formerJun 2, 2010 to Nov 20, 2012 · San Francisco, Ca
- W•••• F•••• I••••••••• L•• unclassifiedNov 17, 2005 to Apr 21, 2006 · San Francisco, Ca
- C•••••• S••••• • C••• I••• to U•• F•••••••• S••••••• I•••left Nov 11, 2016, registered Nov 15, 2016 (4 days) · Affiliated broker-dealer or bank to wirehouse
- V••• F•••••••• A•••••••• I••• to C•••••• S••••• • C••• I•••left Feb 14, 2013, registered Mar 13, 2013 (27 days) · Other
- V••• F•••••••• P•••••••• L•• to V••• F•••••••• A•••••••• I•••left Feb 14, 2013, registered Jan 17, 2013 (-28 days) · Other
- V••• R••••••••• A•••••••• L•• to V••• F•••••••• P•••••••• L••left Feb 14, 2013, registered Jan 17, 2013 (-28 days) · Other
- A••••••• E•••••••• I••• to V••• R••••••••• A•••••••• L••left Nov 20, 2012, registered Jan 17, 2013 (58 days) · Other
- W•••• F•••• I••••••••• L•• to A••••••• E•••••••• I•••left Apr 21, 2006, registered Jun 2, 2010 (1503 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