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.
- O••••••••• institutional currentsince Apr 3, 2017 · Walnut Creek, Ca
- K••••• A••••••• S•••••••• L•• BD affiliatedJul 7, 2016 to Mar 28, 2017 · Austin, Tx
- L•• F•••••••• L•• BD affiliatedOct 16, 2013 to Jul 25, 2016 · Danville, Ca
- O•••• F•• I••• formerJan 11, 2013 to Nov 12, 2013 · Pittsburgh, Pa
- L•• F•••••••• L•• BD affiliatedSep 10, 2012 to Jan 28, 2013 · Concord, Ca
- K••••• A••••••• S•••••••• L•• to O•••••••••left Mar 28, 2017, registered Apr 3, 2017 (6 days) · Other
- L•• F•••••••• L•• to K••••• A••••••• S•••••••• L••left Jul 25, 2016, registered Jul 7, 2016 (-18 days) · Other
- O•••• F•• I••• to L•• F•••••••• L••left Nov 12, 2013, registered Oct 16, 2013 (-27 days) · Other
- L•• F•••••••• L•• to O•••• F•• I•••left Jan 28, 2013, registered Jan 11, 2013 (-17 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
- Institutional managerderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address