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.
K•••• D•••• O•••••
- L•• F•••••••• L•• BD affiliated currentsince May 1, 2025 · San Ramon, Ca
- G•••• P•••• A•••••••• L•• formerApr 1, 2021 to May 1, 2025 · Rockville, Md
- H• B•••• I••• formerOct 24, 2011 to Apr 1, 2021 · Long Beach, Ca
- V••••••••• A••••••• S••••••• BD affiliatedSep 2, 2010 to Oct 24, 2011 · Woodbury, Ny
- H• B•••• I••• formerDec 18, 2007 to Sep 28, 2010 · San Ramon, Ca
- K••••• A•••••••• I••• BD affiliatedAug 15, 2006 to Dec 17, 2007 · Ft. Lauderdale, Fl
- K••••• S••••••••• I••• unclassifiedJan 19, 2006 to Aug 15, 2006 · San Ramon, Ca
- S•••••••• F••••••••• I••• formerOct 31, 2005 to Jan 27, 2006 · Phoenix, Az
- S••••••••• S••••••••• I••• unclassifiedSep 8, 2004 to Oct 31, 2005 · Walnut Creek, Ca
- G•••• P•••• A•••••••• L•• to L•• F•••••••• L••left May 1, 2025, registered May 1, 2025 (0 days) · corporate re-registration, not a move
- H• B•••• I••• to G•••• P•••• A•••••••• L••left Apr 1, 2021, registered Apr 1, 2021 (0 days) · corporate re-registration, not a move
- V••••••••• A••••••• S••••••• to H• B•••• I•••left Oct 24, 2011, registered Oct 24, 2011 (0 days) · Other
- H• B•••• I••• to V••••••••• A••••••• S•••••••left Sep 28, 2010, registered Sep 2, 2010 (-26 days) · Other
- K••••• A•••••••• I••• to H• B•••• I•••left Dec 17, 2007, registered Dec 18, 2007 (1 days) · Other
- K••••• S••••••••• I••• to K••••• A•••••••• I•••left Aug 15, 2006, registered Aug 15, 2006 (0 days) · Other
- S•••••••• F••••••••• I••• to K••••• S••••••••• I•••left Jan 27, 2006, registered Jan 19, 2006 (-8 days) · Other
- S••••••••• S••••••••• I••• to S•••••••• F••••••••• I•••left Oct 31, 2005, registered Oct 31, 2005 (0 days) · corporate re-registration, not a move
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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address