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.
- I•• C••••••• L•• independent RIA currentsince Dec 6, 2023 · Foster City, Ca
- M••••• S•••••• wirehouseJun 7, 2022 to Dec 1, 2023 · San Mateo, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedOct 29, 2020 to May 31, 2022 · San Francisco, Ca
- M••••• S•••••• to I•• C••••••• L••left Dec 1, 2023, registered Dec 6, 2023 (5 days) · Wirehouse to independent RIA · moved with a team
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left May 31, 2022, registered Jun 7, 2022 (7 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- Z••••• C•••• left M••••• S•••••• for I•• C••••••• L•• (registered 2023-12-06)Dec 1, 2023 · Advisor changed firm · fact
- Z••••• C•••• left C•••••••• G••••• M•••••• I••• for M••••• S•••••• (registered 2022-06-07)May 31, 2022 · 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
- Independent wealth managerderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address