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.
U••• D••••
- R••••••••• C•••••• M••••••••• BD affiliated currentsince Jul 26, 2019 · Los Angeles, Ca
- W•••• F•••• A••••••• wirehouseAug 7, 2014 to Jul 29, 2019 · Minneapolis, Mn
- U••• B•••••• A•••••••• L•• BD affiliatedFeb 14, 2014 to May 21, 2014 · Oakland, Ca
- W•••• F•••• A••••••• to R••••••••• C•••••• M•••••••••left Jul 29, 2019, registered Jul 26, 2019 (-3 days) · Wirehouse to independent RIA · moved with a team
- U••• B•••••• A•••••••• L•• to W•••• F•••• A•••••••left May 21, 2014, registered Aug 7, 2014 (78 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address