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.
W•••••• O••• W•••••
- I••••••• F•••••••• S••••••• A••••••• independent RIA currentsince May 12, 2020 · Oakland, Ca
- W••• S••••• F•••••••• G••••• I•• formerFeb 25, 2015 to Jun 5, 2015 · Kapaa, Hi
- C••••••• F•••••••• D••••••• I••• BD affiliatedDec 12, 2014 to Jan 21, 2015 · Kapaa, Hi
- G••••• S••••••••• I••• formerJan 3, 2011 to Jul 24, 2014 · San Diego, Ca
- S•••••••• F••••••••• I••• formerOct 31, 2005 to Oct 6, 2010 · Wichita, Ks
- S••••• S••••••••• C••••••••• unclassifiedApr 29, 1998 to Oct 31, 2005 · Wichita, Ks
- G••••••• F•••••••• C••••••••• I••• unclassifiedJun 3, 1987 to May 9, 2014 · Wichita, Ks
- W••• S••••• F•••••••• G••••• I•• to I••••••• F•••••••• S••••••• A•••••••left Jun 5, 2015, registered May 12, 2020 (1803 days) · Other
- C••••••• F•••••••• D••••••• I••• to W••• S••••• F•••••••• G••••• I••left Jan 21, 2015, registered Feb 25, 2015 (35 days) · Other
- G••••• S••••••••• I••• to C••••••• F•••••••• D••••••• I•••left Jul 24, 2014, registered Dec 12, 2014 (141 days) · Other
- G••••••• F•••••••• C••••••••• I••• to S••••• S••••••••• C•••••••••left May 9, 2014, registered Apr 29, 1998 (-5854 days) · Other
- S•••••••• F••••••••• I••• to G••••• S••••••••• I•••left Oct 6, 2010, registered Jan 3, 2011 (89 days) · Other
- S••••• S••••••••• C••••••••• to S•••••••• F••••••••• I•••left Oct 31, 2005, registered Oct 31, 2005 (0 days) · corporate re-registration, not a move
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
- 46derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address