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••••• M•••••• A••••••
- O•••• W•••••• I••• BD affiliated currentsince Oct 31, 2022 · Honolulu, Hi
- A•••• W••••• M••••••••• A•• P••••••• L•• independent RIAJul 31, 2012 to Nov 3, 2022 · Novato, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDJun 13, 2012 to Jul 26, 2012 · Santa Rosa, Ca
- A•••• W••••• M••••••••• A•• P••••••• L•• to O•••• W•••••• I•••left Nov 3, 2022, registered Oct 31, 2022 (-3 days) · RIA to affiliated broker-dealer or bank
- A••••••••• F•••••••• S•••••••• L•• to A•••• W••••• M••••••••• A•• P••••••• L••left Jul 26, 2012, registered Jul 31, 2012 (5 days) · Affiliated broker-dealer or bank to a newly registered adviser
- D••••• M•••••• A•••••• left A•••• W••••• M••••••••• A•• P••••••• L•• for O•••• W•••••• I••• (registered 2022-10-31)Nov 3, 2022 · Advisor changed firm · fact
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address