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.
A•••••••• L•••• M•••••••
- S•••••••• W••••• C•••••• independent RIA currentsince Jun 5, 2023 · San Francisco, Ca
- S•••••••• A•••••••• L•• BD affiliatedSep 13, 2019 to Jun 30, 2023 · Miami, Fl
- M••••• S•••••• wirehouseFeb 9, 2015 to Sep 16, 2019 · San Francisco, Ca
- S•••••••• A•••••••• L•• to S•••••••• W••••• C••••••left Jun 30, 2023, registered Jun 5, 2023 (-25 days) · Affiliated broker-dealer or bank to a newly registered adviser
- M••••• S•••••• to S•••••••• A•••••••• L••left Sep 16, 2019, registered Sep 13, 2019 (-3 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- A•••••••• L•••• M••••••• left S•••••••• A•••••••• L•• for S•••••••• W••••• C•••••• (registered 2023-06-05)Jun 30, 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
- Independent wealth managerderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address