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.
C••••• M•••••• A••••••
- D•••••• W••••• S••••••••• L•• i••••••••• wealth currentsince Jun 14, 2013 · Granite Bay, Ca
- I••••••••• F•••••••• G••••• L•• BD affiliatedFeb 28, 2011 to Jun 14, 2013 · San Jose, Ca
- F•••••••• D•••••• L••• unclassifiedAug 17, 2007 to Oct 23, 2009 · San Diego, Ca
- I••••••••• F•••••••• G••••• L•• to D•••••• W••••• S••••••••• L••left Jun 14, 2013, registered Jun 14, 2013 (0 days) · Other
- F•••••••• D•••••• L••• to I••••••••• F•••••••• G••••• L••left Oct 23, 2009, registered Feb 28, 2011 (493 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address