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.
J••••• O• A•••••••••
- M••••• S•••••• wirehouse currentsince Nov 16, 2018 · San Jose, Ca
- E•••••• C•••••• M••••••••• L•• formerApr 25, 2013 to Dec 14, 2018 · Arlington, Va
- M••••• S•••••• wirehouseDec 3, 2010 to May 2, 2013 · San Jose, Ca
- W•••••• • R••• formerOct 21, 2008 to Nov 10, 2010 · Seattle, Wa
- E•••••• C•••••• M••••••••• L•• to M••••• S••••••left Dec 14, 2018, registered Nov 16, 2018 (-28 days) · RIA to wirehouse
- M••••• S•••••• to E•••••• C•••••• M••••••••• L••left May 2, 2013, registered Apr 25, 2013 (-7 days) · Other
- W•••••• • R••• to M••••• S••••••left Nov 10, 2010, registered Dec 3, 2010 (23 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