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••••••• C•••••
- W•••• F•••• A••••••• wirehouse currentsince Oct 21, 2020 · San Francisco, Ca
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 25, 2017 to Sep 3, 2020 · Walnut Creek, Ca
- M•• F•••••••• S•••••••• I••• formerDec 7, 2016 to Mar 25, 2017 · Walnut Creek, Ca
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerMar 21, 2016 to Sep 22, 2016 · Walnut Creek, Ca
- P•••••••• S••••••••• I••• BD affiliatedJun 22, 2015 to Nov 16, 2015 · Walnut Creek, Ca
- S•• I••••••••• I••• formerJun 20, 2014 to Jun 15, 2015 · San Ramon, Ca
- M•• I•••••••• S•••••••• L•• to W•••• F•••• A•••••••left Sep 3, 2020, registered Oct 21, 2020 (48 days) · Affiliated broker-dealer or bank to wirehouse
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to M•• F•••••••• S•••••••• I•••left Sep 22, 2016, registered Dec 7, 2016 (76 days) · Other
- P•••••••• S••••••••• I••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left Nov 16, 2015, registered Mar 21, 2016 (126 days) · Other
- S•• I••••••••• I••• to P•••••••• S••••••••• I•••left Jun 15, 2015, registered Jun 22, 2015 (7 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
- Wirehousederived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address