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.
- P•••••• C•••• C•••••• former currentsince Oct 2, 2025 · Menlo Park, Ca
- P•••••• C•••• C•••••• formerFeb 2, 2018 to Dec 31, 2018 · San Francisco, Ca
- P•••••• C•••• C•••••• formerApr 7, 2017 to Dec 31, 2017 · San Francisco, Ca
- N••••• independent RIASep 13, 2016 to Sep 26, 2017 · Southbury, Ct
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 10, 1999 to Jan 20, 2009 · San Francisco, Ca
- N••••• to P•••••• C•••• C••••••left Sep 26, 2017, registered Apr 7, 2017 (-172 days) · RIA to a newly registered adviser
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to N•••••left Jan 20, 2009, registered Sep 13, 2016 (2793 days) · Wirehouse to independent RIA
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
- Former SEC-registered adviserderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address