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.
D••••• G•••• N•••••
- M•••••• BD affiliated currentsince Dec 19, 2022 · San Jose, Ca
- H•••• F••••••••• I••• formerSep 6, 2017 to Feb 7, 2023 · San Jose, Ca
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedOct 4, 2016 to Oct 2, 2017 · San Jose, Ca
- C•••••• S••••• • C••• I••• national BDJan 24, 2014 to Oct 12, 2016 · Campbell, Ca
- E•••••• C•••••• M••••••••• L•• formerJun 19, 2012 to Jan 17, 2014 · Arlington, Va
- M••••• S•••••• wirehouseNov 24, 2011 to Jul 13, 2012 · San Jose, Ca
- H•••• F••••••••• I••• to M••••••left Feb 7, 2023, registered Dec 19, 2022 (-50 days) · RIA to affiliated broker-dealer or bank · moved with a team
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to H•••• F••••••••• I•••left Oct 2, 2017, registered Sep 6, 2017 (-26 days) · Other · moved with a team
- C•••••• S••••• • C••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Oct 12, 2016, registered Oct 4, 2016 (-8 days) · Other
- E•••••• C•••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Jan 17, 2014, registered Jan 24, 2014 (7 days) · Other
- M••••• S•••••• to E•••••• C•••••• M••••••••• L••left Jul 13, 2012, registered Jun 19, 2012 (-24 days) · Other
- D••••• G•••• N••••• left H•••• F••••••••• I••• for Mariner (registered 2022-12-19)Feb 7, 2023 · Advisor changed firm · fact
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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address