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.
R•••••• B•••• G••••••••
- B• R•••• W••••• A•••••••• I••• BD affiliated currentsince May 25, 2012 · Livermore, Ca
- L••••• M••••••• G••••• I••• formerOct 16, 2014 to Mar 3, 2017 · San Francisco, Ca
- I••••••••• A••••• I••••••••• M••••••••• L•• BD affiliatedApr 9, 2012 to Apr 20, 2012 · Orlando, Fl
- L••••• M••••••• G••••• I••• formerJul 26, 2011 to May 10, 2012 · San Francisco, Ca
- A••••••• • S••••••••• I••••••••• formerSep 2, 2010 to Aug 1, 2011 · San Francisco, Ca
- J•••• • L••••• S••••••••• C••• unclassifiedJul 31, 2009 to Jul 14, 2010 · San Francisco, Ca
- M•••• • C•••• I•• unclassifiedOct 10, 2006 to Aug 2, 2007 · Boston, Ma
- L••••• M••••••• G••••• I••• to no registered destinationleft Mar 3, 2017 · Departure, no registered destination
- L••••• M••••••• G••••• I••• to I••••••••• A••••• I••••••••• M••••••••• L••left May 10, 2012, registered Apr 9, 2012 (-31 days) · Other
- I••••••••• A••••• I••••••••• M••••••••• L•• to B• R•••• W••••• A•••••••• I•••left Apr 20, 2012, registered May 25, 2012 (35 days) · Other
- A••••••• • S••••••••• I••••••••• to L••••• M••••••• G••••• I•••left Aug 1, 2011, registered Jul 26, 2011 (-6 days) · Other
- J•••• • L••••• S••••••••• C••• to A••••••• • S••••••••• I•••••••••left Jul 14, 2010, registered Sep 2, 2010 (50 days) · Other
- M•••• • C•••• I•• to J•••• • L••••• S••••••••• C•••left Aug 2, 2007, registered Jul 31, 2009 (729 days) · Other
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 44derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address