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.
M•••••• A•••• W•••••••
- W•••••• S••••••••• I••• BD affiliated currentsince Jun 9, 2021 · Pasadena, Ca
- H•••••• S••••••••• I••• BD affiliatedSep 8, 2015 to Jul 16, 2021 · San Francisco, Ca
- M••••• S•••••• wirehouseApr 2, 2012 to Sep 15, 2015 · Beverly Hills, Ca
- H•••••• S••••••••• I••• to W•••••• S••••••••• I•••left Jul 16, 2021, registered Jun 9, 2021 (-37 days) · Affiliated broker-dealer or bank to another
- M••••• S•••••• to H•••••• S••••••••• I•••left Sep 15, 2015, registered Sep 8, 2015 (-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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address