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.
J••••••••• A•• M••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Sep 5, 2025 · Portola Valley, Ca
- A•••••• A••••••• S••••••• formerMar 3, 2022 to Sep 5, 2025 · Campbell, Ca
- L•• F•••••••• L•• BD affiliatedSep 8, 2009 to Mar 30, 2022 · San Jose, Ca
- A••••••••• S••••••••• C•••• unclassifiedApr 8, 2009 to Sep 8, 2009 · Menlo Park, Ca
- F•• S••••••••• C••••••••• formerApr 8, 2008 to Apr 9, 2009 · San Jose, Ca
- M••••• M••• • A••••••••• unclassifiedJul 8, 1997 to Dec 10, 2013 · San Jose, Ca
- A•••••• A••••••• S••••••• to C••••• I••••••••• A••••••• L••left Sep 5, 2025, registered Sep 5, 2025 (0 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to A•••••• A••••••• S•••••••left Mar 30, 2022, registered Mar 3, 2022 (-27 days) · RIA to affiliated broker-dealer or bank
- M••••• M••• • A••••••••• to F•• S••••••••• C•••••••••left Dec 10, 2013, registered Apr 8, 2008 (-2072 days) · Other
- A••••••••• S••••••••• C•••• to L•• F•••••••• L••left Sep 8, 2009, registered Sep 8, 2009 (0 days) · Other
- F•• S••••••••• C••••••••• to A••••••••• S••••••••• C••••left Apr 9, 2009, registered Apr 8, 2009 (-1 days) · Other
- J••••••••• A•• M•••• left L•• F•••••••• L•• for A•••••• A••••••• S••••••• (registered 2022-03-03)Mar 30, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address