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.
R••••• D•••••• W•••••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Larkspur, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• formerJun 15, 2021 to Mar 31, 2025 · Larkspur, Ca
- B••••••• I••••••••• S•••••••• I••• ••••• formerNov 26, 2018 to Dec 31, 2020 · Napa, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 3, 2014 to Apr 2, 2018 · Napa, Ca
- C••••• S••••• S••••••••• •••• L•• formerMay 3, 2011 to Oct 22, 2013 · San Francisco, Ca
- U•• F•••••••• S••••••• I••• wirehouseAug 19, 2009 to May 9, 2011 · San Francisco, 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
- B••••••• I••••••••• S•••••••• I••• ••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Dec 31, 2020, registered Jun 15, 2021 (166 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to B••••••• I••••••••• S•••••••• I••• •••••left Apr 2, 2018, registered Nov 26, 2018 (238 days) · Wirehouse to affiliated broker-dealer or bank
- C••••• S••••• S••••••••• •••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 22, 2013, registered Oct 3, 2014 (346 days) · Other
- U•• F•••••••• S••••••• I••• to C••••• S••••• S••••••••• •••• L••left May 9, 2011, registered May 3, 2011 (-6 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