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.
A•••••• O••• L••••••••
- M••••• S•••••• wirehouse currentsince Apr 16, 2021 · Santa Cruz, Ca
- E•••••• C•••••• M••••••••• L•• formerMar 13, 2012 to Apr 29, 2021 · Palo Alto, Ca
- T• A••••••••• I••••••••• M••••••••• L•• formerJan 29, 2009 to Mar 9, 2012 · Campbell, Ca
- T• A••••••••• I••• formerJan 29, 2009 to Mar 9, 2012 · Campbell, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedJan 30, 2007 to Dec 22, 2008 · Pleasanton, Ca
- E•••••• C•••••• M••••••••• L•• to M••••• S••••••left Apr 29, 2021, registered Apr 16, 2021 (-13 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to E•••••• C•••••• M••••••••• L••left Mar 9, 2012, registered Mar 13, 2012 (4 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Mar 9, 2012, registered Jan 29, 2009 (-1135 days) · channel change inside one enterprise, not a move
- C•••••••• G••••• M•••••• I••• to T• A••••••••• I•••left Dec 22, 2008, registered Jan 29, 2009 (38 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
- Wirehousederived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address