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.
J•••••• A•••••••• B••••
- P••••• W••••• P•••••••• L•• independent RIA currentsince May 5, 2023 · Alamo, Ca
- I••••••• W••••• L•• formerNov 6, 2020 to Jun 6, 2023 · Clayton, Ca
- R•••••• J•••• • A••••••••• I••• national BDSep 6, 2016 to Dec 2, 2020 · San Francisco, Ca
- D••••••• B••• S••••••••• I••• no RAUMSep 19, 2013 to Sep 6, 2016 · San Francisco, Ca
- C••••• S••••• S••••••••• •••• L•• formerJun 22, 2010 to Oct 1, 2013 · San Francisco, Ca
- W•••• F•••• A••••••• wirehouseFeb 25, 2008 to Jun 15, 2010 · San Jose, Ca
- I••••••• W••••• L•• to P••••• W••••• P•••••••• L••left Jun 6, 2023, registered May 5, 2023 (-32 days) · RIA to a newly registered adviser · moved with a team
- R•••••• J•••• • A••••••••• I••• to I••••••• W••••• L••left Dec 2, 2020, registered Nov 6, 2020 (-26 days) · Affiliated broker-dealer or bank to a newly registered adviser · moved with a team
- D••••••• B••• S••••••••• I••• to R•••••• J•••• • A••••••••• I•••left Sep 6, 2016, registered Sep 6, 2016 (0 days) · corporate re-registration, not a move
- C••••• S••••• S••••••••• •••• L•• to D••••••• B••• S••••••••• I•••left Oct 1, 2013, registered Sep 19, 2013 (-12 days) · Other
- W•••• F•••• A••••••• to C••••• S••••• S••••••••• •••• L••left Jun 15, 2010, registered Jun 22, 2010 (7 days) · Other
- J•••••• A•••••••• B•••• left I••••••• W••••• L•• for P••••• W••••• P•••••••• L•• (registered 2023-05-05)Jun 6, 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
- Independent wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address