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.
V•••••• C•••••••
- L•• F•••••••• L•• BD affiliated currentsince Aug 19, 2020 · El Dorado Hills, Ca
- S••••••• F•••••••• S•••••••• I••• formerMay 30, 2019 to Sep 4, 2020 · San Mateo, Ca
- M••••• S•••••• wirehouseAug 22, 2017 to Feb 13, 2018 · San Luis Obispo, Ca
- U•• F•••••••• S••••••• I••• wirehouseApr 4, 2014 to Jun 12, 2017 · San Francisco, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedJun 1, 2010 to Mar 28, 2014 · San Francisco, Ca
- S••••••• F•••••••• S•••••••• I••• to L•• F•••••••• L••left Sep 4, 2020, registered Aug 19, 2020 (-16 days) · Affiliated broker-dealer or bank to another · moved with a team
- M••••• S•••••• to S••••••• F•••••••• S•••••••• I•••left Feb 13, 2018, registered May 30, 2019 (471 days) · Wirehouse to affiliated broker-dealer or bank
- U•• F•••••••• S••••••• I••• to M••••• S••••••left Jun 12, 2017, registered Aug 22, 2017 (71 days) · Wirehouse to wirehouse · moved with a team
- C•••••••• G••••• M•••••• I••• to U•• F•••••••• S••••••• I•••left Mar 28, 2014, registered Apr 4, 2014 (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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address