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.
P•••••• J••••• D••••
- A•••• W••••• M••••••••• state registered currentsince Nov 14, 2017 · Walnut Creek, Ca
- A•••• W••••• M••••••••• unclassifiedJul 16, 2016 to Dec 14, 2017 · Walnut Creek, Ca
- F•• S••••••••• C••••••••• formerApr 27, 2016 to Jul 14, 2016 · Walnut Creek, Ca
- M•• F•••••••• S•••••••• I••• formerJul 16, 2015 to Apr 20, 2016 · Walnut Creek, Ca
- A•••• W••••• M••••••••• to A•••• W••••• M•••••••••left Dec 14, 2017, registered Nov 14, 2017 (-30 days) · Other · moved with a team
- F•• S••••••••• C••••••••• to A•••• W••••• M•••••••••left Jul 14, 2016, registered Jul 16, 2016 (2 days) · Other · moved with a team
- M•• F•••••••• S•••••••• I••• to F•• S••••••••• C•••••••••left Apr 20, 2016, registered Apr 27, 2016 (7 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
- STATE REGISTEREDderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address