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.
D•• A••• K••••••••
- W•••• F•••• A••••••• wirehouse currentsince Nov 12, 2019 · Scottsdale, Az
- J••• M••••• S••••••••• L•• wirehouseJun 19, 2019 to Oct 23, 2019 · Los Altos, Ca
- M••••• S•••••• wirehouseOct 22, 2018 to Nov 12, 2018 · Cupertino, Ca
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Mar 23, 2018 · Los Gatos, Ca
- C•••• I••••••••• S••••••• C•••• formerJan 20, 2012 to Oct 1, 2012 · San Mateo, Ca
- Q•••• C•••••• S••••••••• I••• formerMar 25, 2009 to Nov 8, 2011 · El Dorado Hills, Ca
- W•••• F•••• I••••••••• L•• unclassifiedApr 3, 2006 to May 18, 2007 · Carmel, Ca
- J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••left Oct 23, 2019, registered Nov 12, 2019 (20 days) · Wirehouse to wirehouse · moved with a team
- M••••• S•••••• to J••• M••••• S••••••••• L••left Nov 12, 2018, registered Jun 19, 2019 (219 days) · Wirehouse to wirehouse · moved with a team
- J••• M••••• S••••••••• L•• to M••••• S••••••left Mar 23, 2018, registered Oct 22, 2018 (213 days) · Wirehouse to wirehouse
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- Q•••• C•••••• S••••••••• I••• to C•••• I••••••••• S••••••• C••••left Nov 8, 2011, registered Jan 20, 2012 (73 days) · Other
- W•••• F•••• I••••••••• L•• to Q•••• C•••••• S••••••••• I•••left May 18, 2007, registered Mar 25, 2009 (677 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