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•••••• Y•••••
- Y••••• W••••• M••••••••• state registered currentsince Apr 28, 2025 · South San Francisco, Ca
- L•• F•••••••• L•• BD affiliatedOct 31, 2013 to Apr 3, 2020 · Campbell, Ca
- A••••• F••••••••• L•• formerSep 13, 2012 to Dec 11, 2015 · Palo Alto, Ca
- S•••••• V••••• W••••• A•••••••• L•• formerDec 1, 2011 to Sep 26, 2012 · Campbell, Ca
- N••••••• T•••• S••••••••• I•• BD affiliatedSep 9, 2003 to Feb 3, 2006 · Los Altos, Ca
- L•• F•••••••• L•• to Y••••• W••••• M•••••••••left Apr 3, 2020, registered Apr 28, 2025 (1851 days) · Affiliated broker-dealer or bank to a state-registered adviser
- A••••• F••••••••• L•• to L•• F•••••••• L••left Dec 11, 2015, registered Oct 31, 2013 (-771 days) · Other
- S•••••• V••••• W••••• A•••••••• L•• to A••••• F••••••••• L••left Sep 26, 2012, registered Sep 13, 2012 (-13 days) · Other
- N••••••• T•••• S••••••••• I•• to S•••••• V••••• W••••• A•••••••• L••left Feb 3, 2006, registered Dec 1, 2011 (2127 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
- STATE REGISTEREDderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address