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.
R••• C••••••••• M•••••• G••••••
- U•• F•••••••• S••••••• I••• wirehouse currentsince Feb 11, 2021 · Walnut Creek, Ca
- J••• M••••• P•••••• W••••• A••••••• L•• formerAug 21, 2013 to Feb 1, 2021 · San Francisco, Ca
- A••••• F•••••••• G••••• L•• formerJul 23, 2008 to Dec 21, 2012 · Carmel, Ca
- J••• M••••• P•••••• W••••• A••••••• L•• to U•• F•••••••• S••••••• I•••left Feb 1, 2021, registered Feb 11, 2021 (10 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- A••••• F•••••••• G••••• L•• to J••• M••••• P•••••• W••••• A••••••• L••left Dec 21, 2012, registered Aug 21, 2013 (243 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
- Wirehousederived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address