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.
H•••••• M••• D• C••••
- R•• C•••••• M••••••• L•• national BD currentsince Aug 11, 2014 · San Francisco, Ca
- O••••••••• • C•• I••• BD affiliatedJul 28, 2011 to Aug 15, 2014 · San Francisco, Ca
- W•••••• • R••• formerOct 13, 2010 to Apr 29, 2011 · San Mateo, Ca
- U•• F•••••••• S••••••• I••• wirehouseMar 16, 2009 to Dec 2, 2009 · San Francisco, Ca
- U•• F•••••••• S••••••• I••• wirehouseMar 17, 2008 to Mar 10, 2009 · Chicago, Il
- O••••••••• • C•• I••• to R•• C•••••• M••••••• L••left Aug 15, 2014, registered Aug 11, 2014 (-4 days) · Other
- W•••••• • R••• to O••••••••• • C•• I•••left Apr 29, 2011, registered Jul 28, 2011 (90 days) · Other
- U•• F•••••••• S••••••• I••• to W•••••• • R•••left Dec 2, 2009, registered Oct 13, 2010 (315 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
- National broker-dealer RIAderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address