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.
T•• Y•• K•• O••
- J••• M••••• S••••••••• L•• wirehouse currentsince May 16, 2017 · Danville, Ca
- B•••• formerOct 28, 2016 to May 2, 2017 · San Francisco, Ca
- S•• F•••••••• S••••• I••••••••• G•••• formerMar 21, 2016 to Oct 13, 2016 · San Francisco, Ca
- B•••• to J••• M••••• S••••••••• L••left May 2, 2017, registered May 16, 2017 (14 days) · Other
- S•• F•••••••• S••••• I••••••••• G•••• to B••••left Oct 13, 2016, registered Oct 28, 2016 (15 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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address