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.
- K••••••• A••••••• G•••• former currentsince Oct 23, 2013 · Hollister, Ca
- I•••••••• A•••••••• L•• BD affiliatedJul 7, 2011 to Sep 6, 2013 · Foster City, Ca
- H• B•••• I••• formerSep 4, 2007 to Jul 20, 2011 · Rockville, Md
- C••••• A••••••• L•• formerJul 18, 2007 to Sep 19, 2007 · Greenwood Village, Co
- L••••• A••••••• S•••••••• I••• unclassifiedJul 3, 2006 to Jul 18, 2007 · Foster City, Ca
- I•••••••• A•••••••• L•• to K••••••• A••••••• G••••left Sep 6, 2013, registered Oct 23, 2013 (47 days) · Other
- H• B•••• I••• to I•••••••• A•••••••• L••left Jul 20, 2011, registered Jul 7, 2011 (-13 days) · Other
- C••••• A••••••• L•• to H• B•••• I•••left Sep 19, 2007, registered Sep 4, 2007 (-15 days) · Other
- L••••• A••••••• S•••••••• I••• to C••••• A••••••• L••left Jul 18, 2007, registered Jul 18, 2007 (0 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
- Former SEC-registered adviserderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address