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••• M•••••• N••••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Nov 16, 2018 · Napa, Ca
- K••••• A••••••• S•••••••• L•• BD affiliatedApr 18, 2016 to Nov 9, 2018 · Lafayette, Ca
- N•• A•••••• S•••••••• L•• formerJan 15, 2016 to Sep 22, 2016 · Lafayette, Ca
- O••••••••• institutionalJan 6, 2016 to Apr 12, 2016 · Lafayette, Ca
- S•• R••••••••• P••• A••••••• formerApr 26, 2013 to Jan 20, 2016 · Lafayette, Ca
- M• H••••••• S••••••••• I••• BD affiliatedOct 4, 2012 to Mar 12, 2013 · Lafayette, Ca
- M• H••••••• S••••••••• I••• BD affiliatedNov 16, 2010 to Oct 1, 2012 · Torrance, Ca
- K••••• A••••••• S•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 9, 2018, registered Nov 16, 2018 (7 days) · Affiliated broker-dealer or bank to wirehouse
- N•• A•••••• S•••••••• L•• to K••••• A••••••• S•••••••• L••left Sep 22, 2016, registered Apr 18, 2016 (-157 days) · corporate re-registration, not a move
- O••••••••• to N•• A•••••• S•••••••• L••left Apr 12, 2016, registered Jan 15, 2016 (-88 days) · Other
- S•• R••••••••• P••• A••••••• to O•••••••••left Jan 20, 2016, registered Jan 6, 2016 (-14 days) · Other
- M• H••••••• S••••••••• I••• to S•• R••••••••• P••• A•••••••left Mar 12, 2013, registered Apr 26, 2013 (45 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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address