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•••••• C••••••••• C•••••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Oct 1, 2012 · Saint Helena, Ca
- C•••• I••••••••• S••••••• C•••• formerJun 1, 2012 to Oct 1, 2012 · Sonoma, Ca
- S•••••••• W••••• A••••••• G•••• formerApr 20, 2011 to May 24, 2012 · San Mateo, Ca
- L•• F•••••••• L•• BD affiliatedDec 17, 2010 to Dec 21, 2011 · Napa, Ca
- W•••••• • R••• formerDec 5, 2008 to Dec 21, 2010 · Napa, Ca
- 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
- S•••••••• W••••• A••••••• G•••• to C•••• I••••••••• S••••••• C••••left May 24, 2012, registered Jun 1, 2012 (8 days) · Other
- L•• F•••••••• L•• to S•••••••• W••••• A••••••• G••••left Dec 21, 2011, registered Apr 20, 2011 (-245 days) · Other
- W•••••• • R••• to L•• F•••••••• L••left Dec 21, 2010, registered Dec 17, 2010 (-4 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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address