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.
B•••• A•••• J•••••••
- T•••••••• A•••••• G••••• L•• independent RIA currentsince Jul 14, 2021 · Milwaukee, Wi
- P•••••••• S••••••••• I••• BD affiliatedJul 21, 2016 to Jul 20, 2021 · San Jose, Ca
- U••• B•••••• A•••••••• L•• BD affiliatedJun 12, 2015 to Jun 16, 2016 · Saratoga, Ca
- B••••••• I••••••••• S•••••••• I••• ••••• formerJun 11, 2013 to May 14, 2015 · Palo Alto, Ca
- P•••••••• S••••••••• I••• to T•••••••• A•••••• G••••• L••left Jul 20, 2021, registered Jul 14, 2021 (-6 days) · Affiliated broker-dealer or bank to independent RIA
- U••• B•••••• A•••••••• L•• to P•••••••• S••••••••• I•••left Jun 16, 2016, registered Jul 21, 2016 (35 days) · Other
- B••••••• I••••••••• S•••••••• I••• ••••• to U••• B•••••• A•••••••• L••left May 14, 2015, registered Jun 12, 2015 (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
- Independent wealth managerderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address