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.
- L•• F•••••••• L•• BD affiliated currentsince May 1, 2020 · Larkspur, Ca
- W•••• F•••• A••••••• wirehouseNov 16, 2015 to May 5, 2020 · Corte Madera, Ca
- U••• B•••••• A•••••••• L•• BD affiliatedJul 17, 2014 to Nov 30, 2015 · San Rafael, Ca
- W•••• F•••• A••••••• wirehouseJul 22, 2011 to Apr 18, 2013 · Santa Rosa, Ca
- C•••• I••••••••• S••••••• C•••• formerJun 20, 2011 to Jul 12, 2011 · Tucson, Az
- W•••• F•••• A••••••• to L•• F•••••••• L••left May 5, 2020, registered May 1, 2020 (-4 days) · Wirehouse to affiliated broker-dealer or bank
- U••• B•••••• A•••••••• L•• to W•••• F•••• A•••••••left Nov 30, 2015, registered Nov 16, 2015 (-14 days) · Other
- W•••• F•••• A••••••• to U••• B•••••• A•••••••• L••left Apr 18, 2013, registered Jul 17, 2014 (455 days) · Other
- C•••• I••••••••• S••••••• C•••• to W•••• F•••• A•••••••left Jul 12, 2011, registered Jul 22, 2011 (10 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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address