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.
G•••••• A•••••••• G•••••
- O•• A•• O•• W••••• P••••••• state registered currentsince Jun 9, 2016 · Pleasant Hill, Ca
- F•••• A••••• A••••••• S•••••••• I••• formerSep 3, 2014 to Jun 9, 2016 · San Diego, Ca
- L•• F•••••••• L•• BD affiliatedJan 6, 2011 to Sep 12, 2014 · Walnut Creek, Ca
- S••••••• F•••••••• S•••••••• I••• formerFeb 9, 2009 to Jan 6, 2011 · San Mateo, Ca
- M•• F•••••••• S•••••••• I••• formerApr 4, 2008 to Feb 4, 2009 · Walnut Creek, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDFeb 12, 2007 to Mar 28, 2008 · Walnut Creek, Ca
- F•••• A••••• A••••••• S•••••••• I••• to O•• A•• O•• W••••• P•••••••left Jun 9, 2016, registered Jun 9, 2016 (0 days) · Other
- L•• F•••••••• L•• to F•••• A••••• A••••••• S•••••••• I•••left Sep 12, 2014, registered Sep 3, 2014 (-9 days) · Other
- S••••••• F•••••••• S•••••••• I••• to L•• F•••••••• L••left Jan 6, 2011, registered Jan 6, 2011 (0 days) · Other
- M•• F•••••••• S•••••••• I••• to S••••••• F•••••••• S•••••••• I•••left Feb 4, 2009, registered Feb 9, 2009 (5 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to M•• F•••••••• S•••••••• I•••left Mar 28, 2008, registered Apr 4, 2008 (7 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
- STATE REGISTEREDderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address