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•••• J•••• P•••••••
- S••• F•••• I••• independent RIA currentsince Jun 8, 2021 · Campbell, Ca
- E••••• F•••••••• G••••• L•• independent RIAMay 16, 2018 to Apr 8, 2021 · Campbell, Ca
- G• A• R••••• • C•••••• BD affiliatedJan 17, 2011 to May 7, 2018 · Santa Monica, Ca
- E••••• F•••••••• G••••• L•• to S••• F•••• I•••left Apr 8, 2021, registered Jun 8, 2021 (61 days) · RIA to RIA
- G• A• R••••• • C•••••• to E••••• F•••••••• G••••• L••left May 7, 2018, registered May 16, 2018 (9 days) · Affiliated broker-dealer or bank to a newly registered adviser
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
- Independent wealth managerderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address