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.
M•••••• S•••• P••••••
- V••• R••••••••• A•••••••• L•• other currentsince Jul 14, 2023 · Windsor, Ct
- V••• F•••••••• A•••••••• I••• BD affiliatedFeb 13, 2019 to Mar 9, 2021 · Livermore, Ca
- L••• S••••• A•••••••• L•• formerAug 11, 2015 to Feb 28, 2019 · Pleasanton, Ca
- N•• A•••••• S•••••••• L•• formerAug 11, 2009 to Aug 12, 2015 · Pleasanton, Ca
- V••• F•••••••• A•••••••• I••• to V••• R••••••••• A•••••••• L••left Mar 9, 2021, registered Jul 14, 2023 (857 days) · Other · moved with a team
- L••• S••••• A•••••••• L•• to V••• F•••••••• A•••••••• I•••left Feb 28, 2019, registered Feb 13, 2019 (-15 days) · Affiliated broker-dealer or bank to another
- N•• A•••••• S•••••••• L•• to L••• S••••• A•••••••• L••left Aug 12, 2015, registered Aug 11, 2015 (-1 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
- Other adviserderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address