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.
J••• B•••••• A•••••••
- L•• F•••••••• L•• BD affiliated currentsince Nov 22, 2025 · Santa Cruz, Ca
- S•••••••• W••••• A••••••• G•••• formerJun 5, 2015 to Jul 21, 2016 · Campbell, Ca
- U••• B•••••• I••••••••• I••• formerJun 3, 2010 to Jun 3, 2015 · Campbell, Ca
- C•••• I••••••••• S••••••• C•••• formerMay 2, 2009 to May 18, 2010 · Scotts Valley, Ca
- W••• I••••••••• I••• unclassifiedDec 18, 2006 to May 2, 2009 · Scotts Valley, Ca
- C••••••• I••••••••• S••••••• unclassifiedJan 4, 2006 to Nov 17, 2006 · Long Island City, Ny
- W•••• F•••• I••••••••• L•• unclassifiedNov 5, 2002 to Jan 26, 2004 · Sunnyvale, Ca
- S•••••••• W••••• A••••••• G•••• to L•• F•••••••• L••left Jul 21, 2016, registered Nov 22, 2025 (3411 days) · Other · moved with a team
- U••• B•••••• I••••••••• I••• to S•••••••• W••••• A••••••• G••••left Jun 3, 2015, registered Jun 5, 2015 (2 days) · Other
- C•••• I••••••••• S••••••• C•••• to U••• B•••••• I••••••••• I•••left May 18, 2010, registered Jun 3, 2010 (16 days) · Other
- W••• I••••••••• I••• to C•••• I••••••••• S••••••• C••••left May 2, 2009, registered May 2, 2009 (0 days) · corporate re-registration, not a move
- C••••••• I••••••••• S••••••• to W••• I••••••••• I•••left Nov 17, 2006, registered Dec 18, 2006 (31 days) · Other
- W•••• F•••• I••••••••• L•• to C••••••• I••••••••• S•••••••left Jan 26, 2004, registered Jan 4, 2006 (709 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
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address