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.
S••••• C••••••••• B•••
- M••••• S•••••• wirehouse currentsince Nov 10, 2023 · Palo Alto, Ca
- J••• M••••• P•••••• W••••• A••••••• L•• formerSep 30, 2015 to May 23, 2023 · Menlo Park, Ca
- C••••••••• W••••• A••••••• L•• formerOct 22, 2009 to Sep 30, 2015 · Menlo Park, Ca
- T••••••••• L•• formerAug 14, 2006 to May 7, 2008 · San Francisco, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedMay 7, 2003 to Aug 21, 2006 · San Francisco, Ca
- J••• M••••• P•••••• W••••• A••••••• L•• to M••••• S••••••left May 23, 2023, registered Nov 10, 2023 (171 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- C••••••••• W••••• A••••••• L•• to J••• M••••• P•••••• W••••• A••••••• L••left Sep 30, 2015, registered Sep 30, 2015 (0 days) · Other · moved with a team
- T••••••••• L•• to C••••••••• W••••• A••••••• L••left May 7, 2008, registered Oct 22, 2009 (533 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to T••••••••• L••left Aug 21, 2006, registered Aug 14, 2006 (-7 days) · Other
- S••••• C••••••••• B••• left J••• M••••• P•••••• W••••• A••••••• L•• for M••••• S•••••• (registered 2023-11-10)May 23, 2023 · 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
- Wirehousederived
- Years in industry
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address