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••••• B•••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jan 18, 2024 · Santa Clara, Ca
- B••••••• W••••• A••••••• formerMar 30, 2023 to Jan 12, 2024 · Menlo Park, Ca
- K••••• A••••••• S•••••••• L•• BD affiliatedMar 17, 2021 to Mar 17, 2023 · Austin, Tx
- B••••••• W••••• A••••••• to A••••••••• F•••••••• S•••••••• L••left Jan 12, 2024, registered Jan 18, 2024 (6 days) · RIA to affiliated broker-dealer or bank
- K••••• A••••••• S•••••••• L•• to B••••••• W••••• A•••••••left Mar 17, 2023, registered Mar 30, 2023 (13 days) · Affiliated broker-dealer or bank to independent RIA
- D••••• B••• left B••••••• W••••• A••••••• for A••••••••• F•••••••• S•••••••• L•• (registered 2024-01-18)Jan 12, 2024 · Advisor changed firm · fact
- D••••• B••• left K••••• A••••••• S•••••••• L•• for B••••••• W••••• A••••••• (registered 2023-03-30)Mar 17, 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
- National broker-dealer RIAderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address