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.
M••• G•••• L•••••
- L•• F•••••••• L•• BD affiliated currentsince Jun 5, 2025 · Walnut Creek, Ca
- W•••••• I••••••••• S••••••••• formerJul 30, 2007 to Jun 5, 2025 · Pleasant Hill, Ca
- F•••• A••••• S••••••••• I••• formerJan 23, 2006 to May 14, 2007 · Walnut Creek, Ca
- W•••••• I••••••••• S••••••••• to L•• F•••••••• L••left Jun 5, 2025, registered Jun 5, 2025 (0 days) · corporate re-registration, not a move
- F•••• A••••• S••••••••• I••• to W•••••• I••••••••• S•••••••••left May 14, 2007, registered Jul 30, 2007 (77 days) · Other
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
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address