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.
S••••••• A••••• C•••••••
- F•••••••• S••••••• S••••••• G••••• I••• state registered currentsince Nov 25, 2019 · Highland Village, Tx
- C••••••• F•••••••• I••• unclassifiedJul 21, 2015 to Dec 31, 2019 · Danville, Ca
- F•••••••• S••••••• S••••••• G••••• I••• state registeredSep 22, 2014 to Feb 4, 2015 · Danville, Ca
- E•••••• E••••• L•• BD affiliatedOct 31, 2013 to Mar 6, 2014 · San Mateo, Ca
- C••••••• F•••••••• I••• to F•••••••• S••••••• S••••••• G••••• I•••left Dec 31, 2019, registered Nov 25, 2019 (-36 days) · Other
- F•••••••• S••••••• S••••••• G••••• I••• to C••••••• F•••••••• I•••left Feb 4, 2015, registered Jul 21, 2015 (167 days) · Other
- E•••••• E••••• L•• to F•••••••• S••••••• S••••••• G••••• I•••left Mar 6, 2014, registered Sep 22, 2014 (200 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
- STATE REGISTEREDderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address