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.
C•••••• H•••••• B•••• W•••••••
- I••••••••• A••••••• N•••••• L•• independent RIA currentsince Oct 5, 2021 · Sausalito, Ca
- S•• F•••••••• S••••• I••••••••• G•••• formerJan 7, 2020 to Oct 15, 2021 · San Francisco, Ca
- S•• F•••••••• S••••• I••••••••• G•••• formerJul 10, 2017 to Dec 31, 2019 · San Francisco, Ca
- W•••• F•••• A••••••• wirehouseDec 10, 2008 to Jun 19, 2017 · San Francisco, Ca
- U•• F•••••••• S••••••• I••• wirehouseJul 8, 1997 to Dec 24, 2008 · San Francisco, Ca
- S•• F•••••••• S••••• I••••••••• G•••• to I••••••••• A••••••• N•••••• L••left Oct 15, 2021, registered Oct 5, 2021 (-10 days) · RIA to RIA
- W•••• F•••• A••••••• to S•• F•••••••• S••••• I••••••••• G••••left Jun 19, 2017, registered Jul 10, 2017 (21 days) · Other
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Dec 24, 2008, registered Dec 10, 2008 (-14 days) · Wirehouse 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
- Independent wealth managerderived
- Years in industry
- 45derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address