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.
- M••••• S•••••• wirehouse currentsince Mar 30, 2021 · Burlingame, Ca
- M• P•••••• W•••••• L•• independent RIAJun 12, 2019 to Mar 4, 2021 · San Carlos, Ca
- A•••• C•••••• independent RIASep 6, 2018 to May 14, 2019 · Walnut Creek, Ca
- E••••• J•••• national BDNov 8, 2017 to Aug 24, 2018 · Sacramento, Ca
- M• P•••••• W•••••• L•• to M••••• S••••••left Mar 4, 2021, registered Mar 30, 2021 (26 days) · RIA to wirehouse
- A•••• C•••••• to M• P•••••• W•••••• L••left May 14, 2019, registered Jun 12, 2019 (29 days) · RIA to RIA
- E••••• J•••• to A•••• C••••••left Aug 24, 2018, registered Sep 6, 2018 (13 days) · Affiliated broker-dealer or bank to independent RIA
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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address