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.
N••••• M•••••••• H•••••••
- N•••••• I••••••••• independent RIA currentsince Jan 10, 2020 · Oakland, Ca
- Q•••••••• P••••••• state registeredOct 18, 2019 to Mar 17, 2020 · San Diego, Ca
- Q•••••••• P••••••• unclassifiedSep 1, 2016 to Dec 11, 2019 · Oakland, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 15, 2015 to Apr 18, 2016 · San Francisco, Ca
- Q•••••••• P••••••• to N•••••• I•••••••••left Mar 17, 2020, registered Jan 10, 2020 (-67 days) · Other
- Q•••••••• P••••••• to Q•••••••• P•••••••left Dec 11, 2019, registered Oct 18, 2019 (-54 days) · Other · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to Q•••••••• P•••••••left Apr 18, 2016, registered Sep 1, 2016 (136 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
- Independent wealth managerderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address