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•••••••• M•••• M•••••••••
- A••••••• F••••••••• L••• BD affiliated currentsince Jul 18, 2019 · Folsom, Ca
- Y••••••••• F•••••••• A•••••••• L•• formerJul 15, 2013 to Apr 2, 2020 · Corte Madera, Ca
- T• A••••••••• I••••••••• M••••••••• L•• formerJun 3, 2011 to Jun 17, 2013 · Corte Madera, Ca
- T• A••••••••• I••• formerJun 3, 2011 to Jun 17, 2013 · Corte Madera, Ca
- O•••• W•••••• I••• BD affiliatedMar 10, 2010 to May 6, 2011 · Novato, Ca
- Y••••••••• F•••••••• A•••••••• L•• to A••••••• F••••••••• L•••left Apr 2, 2020, registered Jul 18, 2019 (-259 days) · RIA to RIA · moved with a team
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Jun 17, 2013, registered Jun 3, 2011 (-745 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to Y••••••••• F•••••••• A•••••••• L••left Jun 17, 2013, registered Jul 15, 2013 (28 days) · Other
- O•••• W•••••• I••• to T• A••••••••• I•••left May 6, 2011, registered Jun 3, 2011 (28 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address