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••• L•••• F•••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Oct 25, 2016 · Palo Alto, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 9, 2016 to Oct 11, 2016 · Palo Alto, Ca
- A••••••••• L••• otherSep 24, 2010 to Mar 9, 2016 · San Francisco, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• S••••••••• L••left Oct 11, 2016, registered Oct 25, 2016 (14 days) · Wirehouse to wirehouse · moved with a team
- A••••••••• L••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 9, 2016, registered May 9, 2016 (61 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