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.
R••••• A••• L•••
- L•• F•••••••• L•• BD affiliated currentsince Jan 17, 2018 · Meridian, Id
- L•••••• W••••• M••••••••• L•• formerApr 15, 2014 to Jan 17, 2018 · Belmont, Ca
- N•• E•••••• S••••••••• C••••••••• formerDec 7, 2011 to May 14, 2014 · Foster City, Ca
- L•••••• W••••• M••••••••• L•• to L•• F•••••••• L••left Jan 17, 2018, registered Jan 17, 2018 (0 days) · Other
- N•• E•••••• S••••••••• C••••••••• to L•••••• W••••• M••••••••• L••left May 14, 2014, registered Apr 15, 2014 (-29 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