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••• P•••••••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Oct 27, 2023 · San Mateo, Ca
- M••••• S•••••• wirehouseMay 21, 2019 to Jun 2, 2023 · San Mateo, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 3, 2016 to Mar 21, 2019 · Palo Alto, Ca
- F•••• A••••••• N•••••••• L•• independent RIAApr 13, 2016 to Sep 20, 2016 · San Carlos, Ca
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedJan 16, 2015 to Dec 11, 2015 · San Jose, Ca
- M••••• S•••••• to J••• M••••• S••••••••• L••left Jun 2, 2023, registered Oct 27, 2023 (147 days) · Wirehouse to wirehouse · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Mar 21, 2019, registered May 21, 2019 (61 days) · Wirehouse to wirehouse
- F•••• A••••••• N•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 20, 2016, registered Oct 3, 2016 (13 days) · Other
- T••••••••• F•••••••• A•••••••• L•• to F•••• A••••••• N•••••••• L••left Dec 11, 2015, registered Apr 13, 2016 (124 days) · Other
- R••• P••••••••• left M••••• S•••••• for J••• M••••• S••••••••• L•• (registered 2023-10-27)Jun 2, 2023 · 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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address