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.
S•••••••• A•••••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Aug 2, 2019 · San Francisco, Ca
- C•••••• S••••• • C••• I••• national BDAug 28, 2013 to Aug 9, 2019 · Berkeley, Ca
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Aug 6, 2013 · Berkeley, Ca
- W•••• F•••• I••••••••• L•• unclassifiedApr 21, 2008 to Jan 3, 2011 · Emeryville, Ca
- C•••••• S••••• • C••• I••• to J••• M••••• S••••••••• L••left Aug 9, 2019, registered Aug 2, 2019 (-7 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- W•••• F•••• A••••••• to C•••••• S••••• • C••• I•••left Aug 6, 2013, registered Aug 28, 2013 (22 days) · Wirehouse to affiliated broker-dealer or bank
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address