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.
J•••• C••••• P•••••••
- M••••• S•••••• wirehouse currentsince Sep 12, 2019 · Palo Alto, Ca
- J••• M••••• S••••••••• L•• wirehouseJan 17, 2018 to Aug 7, 2019 · Fremont, Ca
- B••••••• I••••••••• S•••••••• I••• ••••• formerDec 23, 2016 to Dec 20, 2017 · Union City, Ca
- J••• M••••• S••••••••• L•• to M••••• S••••••left Aug 7, 2019, registered Sep 12, 2019 (36 days) · Wirehouse to wirehouse · moved with a team
- B••••••• I••••••••• S•••••••• I••• ••••• to J••• M••••• S••••••••• L••left Dec 20, 2017, registered Jan 17, 2018 (28 days) · Affiliated broker-dealer or bank to wirehouse
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
- Wirehousederived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address