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•••••• T• T•
- S••••••• W••••• M••••••••• L•• independent RIA currentsince Jul 2, 2019 · Rolling Hills Estates, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 24, 2013 to Jul 18, 2019 · San Jose, Ca
- M••••• S•••••• wirehouseAug 28, 2010 to May 20, 2013 · Palo Alto, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S••••••• W••••• M••••••••• L••left Jul 18, 2019, registered Jul 2, 2019 (-16 days) · Wirehouse to independent RIA
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 20, 2013, registered Apr 24, 2013 (-26 days) · Wirehouse to wirehouse
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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address