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•••••• C•••••••• C•••••• R•••••
- M••••• S•••••• wirehouse currentsince Sep 8, 2019 · Menlo Park, Ca
- B••••••• I••••••••• S•••••••• I••• ••••• formerSep 7, 2016 to Jul 25, 2019 · San Francisco, Ca
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Aug 23, 2016 · San Francisco, Ca
- W•••• F•••• I••••••••• L•• unclassifiedSep 17, 2007 to Jan 3, 2011 · San Francisco, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDFeb 23, 2006 to Feb 14, 2007 · Los Angeles, Ca
- B••••••• I••••••••• S•••••••• I••• ••••• to M••••• S••••••left Jul 25, 2019, registered Sep 8, 2019 (45 days) · Affiliated broker-dealer or bank to wirehouse
- W•••• F•••• A••••••• to B••••••• I••••••••• S•••••••• I••• •••••left Aug 23, 2016, registered Sep 7, 2016 (15 days) · Other
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- A••••••••• F•••••••• S•••••••• L•• to W•••• F•••• I••••••••• L••left Feb 14, 2007, registered Sep 17, 2007 (215 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