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••• S• C•••••
- B••••••• I••• independent RIA currentsince Apr 19, 2024 · Foster City, Ca
- T•• A••••••• G•••• O• S•• F••••••••• L•• independent RIAOct 30, 2018 to Apr 8, 2024 · San F••••••••, Ca
- M•••••• A•••••• N•••••• BD affiliatedJul 21, 2016 to Oct 24, 2018 · San Jose, Ca
- L•• F•••••••• L•• BD affiliatedMar 27, 2015 to Dec 23, 2016 · San Jose, Ca
- T•• A••••••• G•••• O• S•• F••••••••• L•• to B••••••• I•••left Apr 8, 2024, registered Apr 19, 2024 (11 days) · RIA to RIA
- M•••••• A•••••• N•••••• to T•• A••••••• G•••• O• S•• F••••••••• L••left Oct 24, 2018, registered Oct 30, 2018 (6 days) · RIA to RIA
- L•• F•••••••• L•• to M•••••• A•••••• N••••••left Dec 23, 2016, registered Jul 21, 2016 (-155 days) · Other · moved with a team
- R••• S• C••••• left T•• A••••••• G•••• O• S•• F••••••••• L•• for B••••••• I••• (registered 2024-04-19)Apr 8, 2024 · a•••••• firm change · 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
- Independent wealth managerderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address