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••••••• M•••
- M••• A•• A••••••••• independent RIA currentsince Oct 24, 2011 · Modesto, Ca
- C•••••• W••••• M••••••••• formerSep 2, 2008 to Mar 19, 2012 · Modesto, Ca
- M••••• S•••••• • C•• L•• unclassifiedOct 9, 2007 to Aug 27, 2008 · San Francisco, Ca
- M••••• S•••••• • C•• L•• unclassifiedApr 30, 2007 to Aug 28, 2007 · San Francisco, Ca
- C•••••• W••••• M••••••••• to M••• A•• A•••••••••left Mar 19, 2012, registered Oct 24, 2011 (-147 days) · Other
- M••••• S•••••• • C•• L•• to C•••••• W••••• M•••••••••left Aug 27, 2008, registered Sep 2, 2008 (6 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