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.
D••••• C••••••• B•••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Aug 19, 2025 · Scottsdale, Az
- W•••••• S••••••••• I••• BD affiliatedNov 7, 2014 to Aug 19, 2025 · Scottsdale, Az
- M••••• S•••••• wirehouseJun 1, 2009 to Nov 17, 2014 · Menlo Park, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedDec 15, 2004 to Jun 1, 2009 · Menlo Park, Ca
- M••••• S•••••• D• I••• unclassifiedJul 8, 1997 to Dec 16, 2004 · Los Gatos, Ca
- W•••••• S••••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Aug 19, 2025, registered Aug 19, 2025 (0 days) · Affiliated broker-dealer or bank to another
- M••••• S•••••• to W•••••• S••••••••• I•••left Nov 17, 2014, registered Nov 7, 2014 (-10 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to C•••••••• G••••• M•••••• I•••left Dec 16, 2004, registered Dec 15, 2004 (-1 days) · Other
- D••••• C••••••• B••••••• left W•••••• S••••••••• I••• for A••••••••• F•••••••• S•••••••• L•• (registered 2025-08-19)Aug 19, 2025 · 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
- National broker-dealer RIAderived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address