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.
T••• M••• N•••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Campbell, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• formerJun 23, 2023 to Mar 31, 2025 · Campbell, Ca
- O••••••••• S••••••••• I••• BD affiliatedApr 30, 2010 to Aug 18, 2010 · San Jose, Ca
- L•• F•••••••• L•• BD affiliatedAug 24, 2007 to Jun 6, 2008 · Cupertino, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedAug 31, 2004 to Aug 26, 2005 · San Jose, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedJul 8, 1997 to Sep 10, 2004 · Palo Alto, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- O••••••••• S••••••••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••left Aug 18, 2010, registered Jun 23, 2023 (4692 days) · Other
- L•• F•••••••• L•• to O••••••••• S••••••••• I•••left Jun 6, 2008, registered Apr 30, 2010 (693 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to L•• F•••••••• L••left Aug 26, 2005, registered Aug 24, 2007 (728 days) · Other
- C•••••••• G••••• M•••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Sep 10, 2004, registered Aug 31, 2004 (-10 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
- National broker-dealer RIAderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address