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.
M•••••• C•••• F•••••
- U••• B•••••• A•••••••• L•• BD affiliated currentsince Feb 13, 2026 · Santa Barbara, Ca
- U••• B•••••• I••••••••• I••• formerJun 16, 2023 to Feb 13, 2026 · San Francisco, Ca
- U••• B•••••• A•••••••• L•• BD affiliatedMar 20, 2013 to Jun 20, 2023 · Santa Barbara, Ca
- U•• F•••••••• S••••••• I••• wirehouseJul 29, 2005 to Jan 17, 2012 · Santa Barbara, Ca
- U•• A•••• M••••••••• ••• I••• unclassifiedSep 9, 2002 to Jul 20, 2005 · Beverly Hills, Ca
- J• • W• S••••••• • C•• I••••••••• unclassifiedOct 27, 1997 to May 14, 2002 · New York, Ny
- U••• B•••••• I••••••••• I••• to U••• B•••••• A•••••••• L••left Feb 13, 2026, registered Feb 13, 2026 (0 days) · corporate re-registration, not a move
- U••• B•••••• A•••••••• L•• to U••• B•••••• I••••••••• I•••left Jun 20, 2023, registered Jun 16, 2023 (-4 days) · Affiliated broker-dealer or bank to another · moved with a team
- U•• F•••••••• S••••••• I••• to U••• B•••••• A•••••••• L••left Jan 17, 2012, registered Mar 20, 2013 (428 days) · Other
- U•• A•••• M••••••••• ••• I••• to U•• F•••••••• S••••••• I•••left Jul 20, 2005, registered Jul 29, 2005 (9 days) · Other
- J• • W• S••••••• • C•• I••••••••• to U•• A•••• M••••••••• ••• I•••left May 14, 2002, registered Sep 9, 2002 (118 days) · Other
- M•••••• C•••• F••••• left U••• B•••••• A•••••••• L•• for U••• B•••••• I••••••••• I••• (registered 2023-06-16)Jun 20, 2023 · 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
- 43derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address