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.
I•• A••••• C•••••••
- C•••••• A••••••••• I••• independent RIA currentsince Jul 25, 2012 · Walnut Creek, Ca
- L•• F•••••••• L•• BD affiliatedOct 26, 2010 to Jun 13, 2012 · Napa, Ca
- T• A••••••••• I••••••••• M••••••••• L•• formerJul 17, 2008 to Dec 11, 2008 · Walnut Creek, Ca
- T• A••••••••• I••• formerJul 17, 2008 to Dec 11, 2008 · Walnut Creek, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedNov 3, 2006 to Jul 14, 2008 · Walnut Creek, Ca
- W•••• F•••• I••••••••• L•• unclassifiedMar 20, 2006 to Oct 11, 2006 · Walnut Creek, Ca
- L•• F•••••••• L•• to C•••••• A••••••••• I•••left Jun 13, 2012, registered Jul 25, 2012 (42 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to L•• F•••••••• L••left Dec 11, 2008, registered Oct 26, 2010 (684 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Dec 11, 2008, registered Jul 17, 2008 (-147 days) · channel change inside one enterprise, not a move
- B••• O• A•••••• I••••••••• S•••••••• I••• to T• A••••••••• I•••left Jul 14, 2008, registered Jul 17, 2008 (3 days) · Other
- W•••• F•••• I••••••••• L•• to B••• O• A•••••• I••••••••• S•••••••• I•••left Oct 11, 2006, registered Nov 3, 2006 (23 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
- Independent wealth managerderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address