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.
A••• D••••••
- C•••••••• G••••• M•••••• I••• BD affiliated currentsince Jan 11, 2023 · San Francisco, Ca
- H••• S••••••••• •••• I••• BD affiliatedAug 6, 2017 to Jan 24, 2023 · San Francisco, Ca
- U•• F•••••••• S••••••• I••• wirehouseJun 12, 2009 to Jan 30, 2015 · San Jose, Ca
- U•• F•••••••• S••••••• I••• wirehouseOct 8, 2007 to May 13, 2009 · San Francisco, Ca
- H••• S••••••••• •••• I••• to C•••••••• G••••• M•••••• I•••left Jan 24, 2023, registered Jan 11, 2023 (-13 days) · Affiliated broker-dealer or bank to another
- U•• F•••••••• S••••••• I••• to H••• S••••••••• •••• I•••left Jan 30, 2015, registered Aug 6, 2017 (919 days) · Other
- A••• D•••••• left H••• S••••••••• •••• I••• for C•••••••• G••••• M•••••• I••• (registered 2023-01-11)Jan 24, 2023 · Advisor changed firm · fact
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address