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.
D••••••• N• M••
- O•••• W•••••• I••• BD affiliated currentsince Dec 13, 2023 · Scottsdale, Az
- B••• F•••••••• G•••• independent RIAFeb 14, 2022 to Feb 15, 2023 · San Francisco, Ca
- B••• F•••••••• G•••• to O•••• W•••••• I•••left Feb 15, 2023, registered Dec 13, 2023 (301 days) · RIA to affiliated broker-dealer or bank
- D••••••• N• M•• left B••• F•••••••• G•••• for O•••• W•••••• I••• (registered 2023-12-13)Feb 15, 2023 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address