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.
C••••••••• T••• I••••
- L•• F•••••••• L•• BD affiliated currentsince Jun 5, 2025 · Petaluma, Ca
- W•••••• I••••••••• S••••••••• formerJan 2, 2015 to Jun 5, 2025 · Santa Rosa, Ca
- G•• A••••••• formerFeb 14, 2014 to Dec 31, 2014 · Petaluma, Ca
- G•• A••••••• formerDec 23, 2013 to Dec 31, 2013 · Petaluma, Ca
- G•• A••••••• formerNov 2, 2010 to Dec 13, 2013 · Santa Rosa, Ca
- U•• F•••••••• S••••••• I••• wirehouseAug 12, 2006 to Nov 5, 2010 · Santa Rosa, Ca
- P•••• S•••••• • C•• institutionalSep 16, 1997 to Aug 12, 2006 · Sonoma, Ca
- W•••••• I••••••••• S••••••••• to L•• F•••••••• L••left Jun 5, 2025, registered Jun 5, 2025 (0 days) · corporate re-registration, not a move
- G•• A••••••• to W•••••• I••••••••• S•••••••••left Dec 31, 2014, registered Jan 2, 2015 (2 days) · Other
- U•• F•••••••• S••••••• I••• to G•• A•••••••left Nov 5, 2010, registered Nov 2, 2010 (-3 days) · Other
- P•••• S•••••• • C•• to U•• F•••••••• S••••••• I•••left Aug 12, 2006, registered Aug 12, 2006 (0 days) · corporate re-registration, not a move
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
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address