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•• A•••• M••••••••• other currentsince May 21, 2014 · San Francisco, Ca
- M•• I•••••••• S•••••••• L•• BD affiliatedJul 20, 2011 to May 20, 2014 · San Jose, Ca
- F•••• C•••••• F•••••••• P•••••••• I••• formerApr 27, 2010 to Nov 8, 2010 · San Diego, Ca
- M•• I•••••••• S•••••••• L•• to S•• A•••• M•••••••••left May 20, 2014, registered May 21, 2014 (1 days) · Other
- F•••• C•••••• F•••••••• P•••••••• I••• to M•• I•••••••• S•••••••• L••left Nov 8, 2010, registered Jul 20, 2011 (254 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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address