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.
T••••• W•••••• M••••••••
- A••••••• M•••• M••••••••• L•• independent RIA currentsince Oct 5, 2025 · Rancho Santa Fe, Ca
- C•••••••• C•••••• W••••• M••••••••• L•• independent RIAMay 5, 2023 to Sep 30, 2025 · Tampa, Fl
- H••••••• W••••• M••••••••• L•• formerOct 27, 2020 to May 3, 2023 · Phoenix, Az
- A•••••• R••••••• C•••••• independent RIANov 6, 2017 to Oct 23, 2020 · San Rafael, Ca
- L•• F•••••••• L•• BD affiliatedDec 31, 1997 to Mar 16, 2018 · San Rafael, Ca
- C•••••••• C•••••• W••••• M••••••••• L•• to A••••••• M•••• M••••••••• L••left Sep 30, 2025, registered Oct 5, 2025 (5 days) · RIA to RIA
- H••••••• W••••• M••••••••• L•• to C•••••••• C•••••• W••••• M••••••••• L••left May 3, 2023, registered May 5, 2023 (2 days) · RIA to RIA
- A•••••• R••••••• C•••••• to H••••••• W••••• M••••••••• L••left Oct 23, 2020, registered Oct 27, 2020 (4 days) · Affiliated broker-dealer or bank to independent RIA
- L•• F•••••••• L•• to A•••••• R••••••• C••••••left Mar 16, 2018, registered Nov 6, 2017 (-130 days) · Other
- T••••• W•••••• M•••••••• left C•••••••• C•••••• W••••• M••••••••• L•• for A••••••• M•••• M••••••••• L•• (registered 2025-10-05)Sep 30, 2025 · a•••••• firm change · fact
- T••••• W•••••• M•••••••• left H••••••• W••••• M••••••••• L•• for C•••••••• C•••••• W••••• M••••••••• L•• (registered 2023-05-05)May 3, 2023 · a•••••• firm change · 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
- Independent wealth managerderived
- Years in industry
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address