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•••••• M••••
- L•• F•••••••• L•• BD affiliated currentsince Aug 19, 2020 · San Mateo, Ca
- S••••••• F•••••••• S•••••••• I••• formerJun 13, 2016 to Sep 8, 2020 · San Mateo, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDDec 26, 2014 to Jun 2, 2016 · Walnut Creek, Ca
- M•• I•••••••• S•••••••• L•• BD affiliatedJan 10, 2008 to Jan 2, 2015 · Pleasanton, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDJan 31, 2007 to Jan 16, 2008 · Walnut Creek, Ca
- S••••••• F•••••••• S•••••••• I••• to L•• F•••••••• L••left Sep 8, 2020, registered Aug 19, 2020 (-20 days) · Affiliated broker-dealer or bank to another · moved with a team
- A••••••••• F•••••••• S•••••••• L•• to S••••••• F•••••••• S•••••••• I•••left Jun 2, 2016, registered Jun 13, 2016 (11 days) · Other
- M•• I•••••••• S•••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Jan 2, 2015, registered Dec 26, 2014 (-7 days) · Other · moved with a team
- A••••••••• F•••••••• S•••••••• L•• to M•• I•••••••• S•••••••• L••left Jan 16, 2008, registered Jan 10, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address