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••••• S••••• W••••••••
- L•• F•••••••• L•• BD affiliated currentsince Jan 1, 2026 · Oakland, Ca
- W•••••• I••••••••• S••••••••• formerJan 5, 2015 to Jun 5, 2025 · Santa Rosa, Ca
- G•• A••••••• formerFeb 14, 2014 to Dec 31, 2014 · Oakland, Ca
- G•• A••••••• formerDec 23, 2013 to Dec 31, 2013 · Oakland, Ca
- G•• A••••••• formerMar 11, 2011 to Dec 13, 2013 · Oakland, Ca
- S••••••••• A•••••• A•••••••• I••• formerJan 8, 2009 to Feb 15, 2011 · Oakland, Ca
- E•••••••• A••••••• I•• unclassifiedNov 21, 2005 to Dec 31, 2008 · Roseville, Ca
- A••••••• A••••••• S••••••• formerSep 30, 2004 to Dec 16, 2005 · Oakland, Ca
- T•• A••••••• G••••• I••• unclassifiedJan 7, 2003 to Sep 30, 2004 · Oakland, Ca
- W•••••• I••••••••• S••••••••• to L•• F•••••••• L••left Jun 5, 2025, registered Jan 1, 2026 (210 days) · corporate re-registration, not a move
- G•• A••••••• to W•••••• I••••••••• S•••••••••left Dec 31, 2014, registered Jan 5, 2015 (5 days) · Other
- S••••••••• A•••••• A•••••••• I••• to G•• A•••••••left Feb 15, 2011, registered Mar 11, 2011 (24 days) · Other
- E•••••••• A••••••• I•• to S••••••••• A•••••• A•••••••• I•••left Dec 31, 2008, registered Jan 8, 2009 (8 days) · Other
- A••••••• A••••••• S••••••• to E•••••••• A••••••• I••left Dec 16, 2005, registered Nov 21, 2005 (-25 days) · Other
- T•• A••••••• G••••• I••• to A••••••• A••••••• S•••••••left Sep 30, 2004, registered Sep 30, 2004 (0 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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address