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.
E••••• S• A••••••••
- P•••••• C••••• I••••••••• state registered currentsince May 17, 2024 · Scottsdale, Az
- B•• S••••• C•••••• H••••••• formerJul 7, 2020 to Apr 10, 2024 · Fremont, Ca
- T• A••••••••• I••••••••• M••••••••• L•• formerOct 8, 2018 to Jul 8, 2020 · Campbell, Ca
- T• A••••••••• I••• formerOct 8, 2018 to Jul 8, 2020 · Campbell, Ca
- C•••••• S••••• • C••• I••• national BDMay 11, 2017 to Aug 16, 2018 · Phoenix, Az
- B•• S••••• C•••••• H••••••• to P•••••• C••••• I•••••••••left Apr 10, 2024, registered May 17, 2024 (37 days) · RIA to a state-registered adviser · moved with a team
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Jul 8, 2020, registered Oct 8, 2018 (-639 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Jul 8, 2020, registered Oct 8, 2018 (-639 days) · Other · moved with a team
- C•••••• S••••• • C••• I••• to T• A••••••••• I•••left Aug 16, 2018, registered Oct 8, 2018 (53 days) · Other
- E••••• S• A•••••••• left B•• S••••• C•••••• H••••••• for P•••••• C••••• I••••••••• (registered 2024-05-17)Apr 10, 2024 · 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
- STATE REGISTEREDderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address