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.
L•••• A••••• M•••••
- S• A•••• M••••••••• L•• independent RIA currentsince Feb 1, 2023 · Cupertino, Ca
- S• A•••• M••••••••• formerJul 18, 2022 to Mar 30, 2023 · Cupertino, Ca
- W•••• F•••• A••••••• wirehouseSep 9, 2016 to Jun 25, 2018 · Menlo Park, Ca
- N• W••••• M••••••••• L•• formerJun 27, 2016 to Aug 25, 2016 · San Francisco, Ca
- S• A•••• M••••••••• to S• A•••• M••••••••• L••left Mar 30, 2023, registered Feb 1, 2023 (-57 days) · channel change inside one enterprise, not a move
- W•••• F•••• A••••••• to S• A•••• M•••••••••left Jun 25, 2018, registered Jul 18, 2022 (1484 days) · Wirehouse to independent RIA
- N• W••••• M••••••••• L•• to W•••• F•••• A•••••••left Aug 25, 2016, registered Sep 9, 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
- Independent wealth managerderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address