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.
- L•• F•••••••• L•• BD affiliated currentsince Jan 16, 2023 · San Mateo, Ca
- U••• B•••••• I••••••••• I••• formerJul 6, 2015 to Dec 6, 2022 · Cupertino, Ca
- B••••••• I••••••••• S•••••••• I••• ••••• formerNov 5, 2012 to May 11, 2015 · Sunnyvale, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 23, 2010 to Jul 11, 2012 · Menlo Park, Ca
- T• A••••••••• I••••••••• M••••••••• L•• formerJan 4, 2008 to Jul 21, 2009 · E. Palo Alto, Ca
- T• A••••••••• I••• formerJan 4, 2008 to Jul 21, 2009 · Menlo Park, Ca
- W•••• F•••• I••••••••• L•• unclassifiedOct 15, 2007 to Dec 18, 2007 · San Francisco, Ca
- U••• B•••••• I••••••••• I••• to L•• F•••••••• L••left Dec 6, 2022, registered Jan 16, 2023 (41 days) · Affiliated broker-dealer or bank to independent RIA
- B••••••• I••••••••• S•••••••• I••• ••••• to U••• B•••••• I••••••••• I•••left May 11, 2015, registered Jul 6, 2015 (56 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to B••••••• I••••••••• S•••••••• I••• •••••left Jul 11, 2012, registered Nov 5, 2012 (117 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Jul 21, 2009, registered Jan 4, 2008 (-564 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Jul 21, 2009, registered Jan 4, 2008 (-564 days) · channel change inside one enterprise, not a move
- W•••• F•••• I••••••••• L•• to T• A••••••••• I•••left Dec 18, 2007, registered Jan 4, 2008 (17 days) · Other
- L••• L• left U••• B•••••• I••••••••• I••• for L•• F•••••••• L•• (registered 2023-01-16)Dec 6, 2022 · 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address