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.
F•••••••• H••••• B•••••
- O• K••• C•••••• state registered currentsince Jan 1, 2021 · Mill Valley, Ca
- E••••• P•••••••• I••• formerJan 27, 2017 to Dec 14, 2019 · Novato, Ca
- O• K••• C••••••• L•• unclassifiedFeb 6, 2012 to Dec 31, 2016 · Mill Valley, Ca
- O• K••• C••••••• L•• unclassifiedMay 29, 2008 to Dec 31, 2011 · San Anselmo, Ca
- E••••• P•••••••• I••• to O• K••• C••••••left Dec 14, 2019, registered Jan 1, 2021 (384 days) · RIA to a state-registered adviser
- O• K••• C••••••• L•• to E••••• P•••••••• I•••left Dec 31, 2016, registered Jan 27, 2017 (27 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
- STATE REGISTEREDderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address