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•••••• A• W•••••
- L•• F•••••••• L•• BD affiliated currentsince Mar 12, 2021 · Newark, Ca
- S••••••• P•••••• F••••••••• L•• formerDec 1, 2015 to Nov 15, 2016 · Fremont, Ca
- B••••• F•••••• I••••••••• C••••••••• L••• formerJun 4, 2014 to Jul 14, 2015 · Walnut Creek, Ca
- S••••••• P•••••• F••••••••• L•• to L•• F•••••••• L••left Nov 15, 2016, registered Mar 12, 2021 (1578 days) · Other · moved with a team
- B••••• F•••••• I••••••••• C••••••••• L••• to S••••••• P•••••• F••••••••• L••left Jul 14, 2015, registered Dec 1, 2015 (140 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address