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.
M••••••••• M•• R• P••••••
- M••••• S•••••• wirehouse currentsince Feb 28, 2023 · Palo Alto, Ca
- J••• M••••• S••••••••• L•• wirehouseJan 4, 2023 to Feb 14, 2023 · San Jose, Ca
- H••• S••••••••• •••• I••• BD affiliatedJul 26, 2019 to Feb 9, 2022 · San Jose, Ca
- J••• M••••• S••••••••• L•• wirehouseDec 15, 2017 to Jun 14, 2019 · Los Gatos, Ca
- W•••• F•••• A••••••• wirehouseSep 3, 2013 to Dec 22, 2017 · Mountain View, Ca
- J••• M••••• S••••••••• L•• to M••••• S••••••left Feb 14, 2023, registered Feb 28, 2023 (14 days) · Wirehouse to wirehouse
- H••• S••••••••• •••• I••• to J••• M••••• S••••••••• L••left Feb 9, 2022, registered Jan 4, 2023 (329 days) · Affiliated broker-dealer or bank to wirehouse
- J••• M••••• S••••••••• L•• to H••• S••••••••• •••• I•••left Jun 14, 2019, registered Jul 26, 2019 (42 days) · Wirehouse to affiliated broker-dealer or bank
- W•••• F•••• A••••••• to J••• M••••• S••••••••• L••left Dec 22, 2017, registered Dec 15, 2017 (-7 days) · Wirehouse to wirehouse
- M••••••••• M•• R• P•••••• left J••• M••••• S••••••••• L•• for M••••• S•••••• (registered 2023-02-28)Feb 14, 2023 · Advisor changed firm · fact
- M••••••••• M•• R• P•••••• left H••• S••••••••• •••• I••• for J••• M••••• S••••••••• L•• (registered 2023-01-04)Feb 9, 2022 · 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
- Wirehousederived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address