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.
N••••••• L• G••••
- L•• F•••••••• L•• BD affiliated currentsince Sep 15, 2023 · Concord, Ca
- N••• C••••••••• BD affiliatedNov 18, 2020 to Sep 14, 2023 · Concord, Ca
- J••• M••••• S••••••••• L•• wirehouseFeb 21, 2019 to May 21, 2020 · Pleasanton, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 7, 2011 to Feb 19, 2019 · Oakland, Ca
- C•••• I••••••••• S••••••• C•••• formerMay 14, 2010 to Aug 4, 2011 · Oakland, Ca
- W•••••• • R••• formerJul 27, 2009 to Sep 29, 2009 · Concord, Ca
- N••• C••••••••• to L•• F•••••••• L••left Sep 14, 2023, registered Sep 15, 2023 (1 days) · Affiliated broker-dealer or bank to another
- J••• M••••• S••••••••• L•• to N••• C•••••••••left May 21, 2020, registered Nov 18, 2020 (181 days) · Wirehouse to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• S••••••••• L••left Feb 19, 2019, registered Feb 21, 2019 (2 days) · Wirehouse to wirehouse · moved with a team
- C•••• I••••••••• S••••••• C•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 4, 2011, registered Sep 7, 2011 (34 days) · Other
- W•••••• • R••• to C•••• I••••••••• S••••••• C••••left Sep 29, 2009, registered May 14, 2010 (227 days) · Other
- N••••••• L• G•••• left N••• C••••••••• for L•• F•••••••• L•• (registered 2023-09-15)Sep 14, 2023 · Advisor changed firm · fact
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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address