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.
D••••• J••• L•••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Sep 10, 2026 · El Segundo, Ca
- W•••• F•••• A••••••• wirehouse currentsince Nov 2, 2022 · Palo Alto, Ca
- W•••• F•••• A••••••• wirehouseNov 2, 2022 to Sep 18, 2026 · Palo Alto, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDJan 26, 2021 to Sep 28, 2022 · Glendale, Az
- U••• B•••••• A•••••••• L•• BD affiliatedJun 25, 2013 to Dec 16, 2020 · San Francisco, Ca
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Jun 11, 2013 · Tucson, Az
- W•••• F•••• I••••••••• L•• unclassifiedFeb 3, 2005 to Jan 3, 2011 · Prescott, Az
- W•••• F•••• A••••••• to A••••••••• F•••••••• S•••••••• L••left Sep 18, 2026, registered Sep 10, 2026 (-8 days) · Wirehouse to affiliated broker-dealer or bank
- A••••••••• F•••••••• S•••••••• L•• to W•••• F•••• A•••••••left Sep 28, 2022, registered Nov 2, 2022 (35 days) · Affiliated broker-dealer or bank to wirehouse
- U••• B•••••• A•••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Dec 16, 2020, registered Jan 26, 2021 (41 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to U••• B•••••• A•••••••• L••left Jun 11, 2013, registered Jun 25, 2013 (14 days) · Other
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- D••••• J••• L••• left W•••• F•••• A••••••• for A••••••••• F•••••••• S•••••••• L•• (registered 2026-09-10)Sep 18, 2026 · Advisor changed firm · fact
- D••••• J••• L••• left A••••••••• F•••••••• S•••••••• L•• for W•••• F•••• A••••••• (registered 2022-11-02)Sep 28, 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
- National broker-dealer RIAderived
- Years in industry
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address