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.
J•••••• D••••• L••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince May 31, 2023 · San Ramon, Ca
- S••••••• F•••••••• S•••••••• I••• formerSep 13, 2016 to May 31, 2023 · San Mateo, Ca
- W•••• F•••• A••••••• wirehouseJan 20, 2015 to Feb 11, 2016 · San Francisco, Ca
- S••••••• F•••••••• S•••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left May 31, 2023, registered May 31, 2023 (0 days) · RIA to affiliated broker-dealer or bank · moved with a team
- W•••• F•••• A••••••• to S••••••• F•••••••• S•••••••• I•••left Feb 11, 2016, registered Sep 13, 2016 (215 days) · Other
- J•••••• D••••• L•• left S••••••• F•••••••• S•••••••• I••• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2023-05-31)May 31, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address