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.
D••••• S• R•••••••
- M••••• S•••••• wirehouse currentsince Jul 29, 2021 · Santa Rosa, Ca
- W•••• F•••• A••••••• wirehouseJan 22, 2014 to Jul 27, 2021 · Novato, Ca
- U••• B•••••• A•••••••• L•• BD affiliatedSep 4, 2013 to Nov 5, 2013 · Corona Del Mar, Ca
- W•••• F•••• A••••••• to M••••• S••••••left Jul 27, 2021, registered Jul 29, 2021 (2 days) · Wirehouse to wirehouse · moved with a team
- U••• B•••••• A•••••••• L•• to W•••• F•••• A•••••••left Nov 5, 2013, registered Jan 22, 2014 (78 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