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•••••• S•••••••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Aug 22, 2018 · Los Altos, Ca
- E• R•••• I••••••••• L•• formerApr 5, 2017 to Sep 20, 2017 · Menlo Park, Ca
- J••• M••••• S••••••••• L•• wirehouseOct 23, 2014 to Apr 12, 2017 · Palo Alto, Ca
- M••••• S•••••• wirehouseJul 25, 2013 to Apr 8, 2014 · San Luis Obispo, Ca
- E• R•••• I••••••••• L•• to J••• M••••• S••••••••• L••left Sep 20, 2017, registered Aug 22, 2018 (336 days) · Other
- J••• M••••• S••••••••• L•• to E• R•••• I••••••••• L••left Apr 12, 2017, registered Apr 5, 2017 (-7 days) · Other
- M••••• S•••••• to J••• M••••• S••••••••• L••left Apr 8, 2014, registered Oct 23, 2014 (198 days) · Wirehouse to wirehouse
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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address