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.
- W•••• F•••• A••••••• wirehouse currentsince Mar 10, 2025 · Walnut Creek, Ca
- R•• C•••••• M••••••• L•• national BDApr 4, 2022 to Apr 11, 2025 · San Jose, Ca
- W•••• F•••• A••••••• wirehouseFeb 6, 2015 to Mar 25, 2022 · Austin, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 23, 2010 to Jan 8, 2015 · Los Angeles, Ca
- M••••• S•••••• wirehouseJun 1, 2009 to Jul 7, 2010 · San Francisco, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedApr 27, 1998 to Jun 1, 2009 · San Francisco, Ca
- R•• C•••••• M••••••• L•• to W•••• F•••• A•••••••left Apr 11, 2025, registered Mar 10, 2025 (-32 days) · Affiliated broker-dealer or bank to wirehouse
- W•••• F•••• A••••••• to R•• C•••••• M••••••• L••left Mar 25, 2022, registered Apr 4, 2022 (10 days) · Wirehouse to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Jan 8, 2015, registered Feb 6, 2015 (29 days) · Wirehouse to wirehouse
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 7, 2010, registered Jul 23, 2010 (16 days) · Wirehouse to wirehouse
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- D••• L••• left R•• C•••••• M••••••• L•• for W•••• F•••• A••••••• (registered 2025-03-10)Apr 11, 2025 · Advisor changed firm · fact
- D••• L••• left W•••• F•••• A••••••• for R•• C•••••• M••••••• L•• (registered 2022-04-04)Mar 25, 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
- Wirehousederived
- Years in industry
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address