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• H••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Apr 13, 2022 · San Francisco, Ca
- W•••• F•••• A••••••• wirehouseAug 10, 2020 to May 12, 2022 · San Francisco, Ca
- S•••• F••• I••••••••• M••••••••• C•••• asset managerJul 31, 2019 to Jul 2, 2020 · S San Francisco, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedDec 9, 2013 to Feb 22, 2019 · San Antonio, Tx
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Sep 5, 2013 · Millbrae, Ca
- C•••• I••••••••• S••••••• C•••• formerNov 14, 2011 to Oct 1, 2012 · Millbrae, Ca
- E••••• J•••• national BDSep 13, 2010 to Oct 31, 2011 · St Louis, Mo
- W•••• F•••• A••••••• to C••••• I••••••••• A••••••• L••left May 12, 2022, registered Apr 13, 2022 (-29 days) · Wirehouse to affiliated broker-dealer or bank
- S•••• F••• I••••••••• M••••••••• C•••• to W•••• F•••• A•••••••left Jul 2, 2020, registered Aug 10, 2020 (39 days) · Other
- C•••••••• G••••• M•••••• I••• to S•••• F••• I••••••••• M••••••••• C••••left Feb 22, 2019, registered Jul 31, 2019 (159 days) · Other
- J••• M••••• S••••••••• L•• to C•••••••• G••••• M•••••• I•••left Sep 5, 2013, registered Dec 9, 2013 (95 days) · Other
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- E••••• J•••• to C•••• I••••••••• S••••••• C••••left Oct 31, 2011, registered Nov 14, 2011 (14 days) · Other
- L• H•••• left W•••• F•••• A••••••• for C••••• I••••••••• A••••••• L•• (registered 2022-04-13)May 12, 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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address