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•• M•••••• M•••••
- O•••• W•••••• I••• BD affiliated currentsince Jun 14, 2024 · San Jose, Ca
- S••••••••• A•••••• A•••••••• I••• formerMar 25, 2020 to Jun 14, 2024 · Morgan Hill, Ca
- R•• A••••••• S•••••••• I••• formerMar 22, 2018 to Apr 7, 2020 · Morgan Hill, Ca
- R•• A••••••• S•••••••• I••• formerNov 20, 2014 to Dec 31, 2017 · Morgan Hill, Ca
- S••••••• F•••••••• S•••••••• I••• formerJan 12, 2012 to Nov 18, 2014 · San Mateo, Ca
- S••••••••• A•••••• A•••••••• I••• to O•••• W•••••• I•••left Jun 14, 2024, registered Jun 14, 2024 (0 days) · corporate re-registration, not a move
- R•• A••••••• S•••••••• I••• to S••••••••• A•••••• A•••••••• I•••left Apr 7, 2020, registered Mar 25, 2020 (-13 days) · RIA to affiliated broker-dealer or bank
- S••••••• F•••••••• S•••••••• I••• to R•• A••••••• S•••••••• I•••left Nov 18, 2014, registered Nov 20, 2014 (2 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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address