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.
G•••••• R•••• H••••••
- L•• F•••••••• L•• BD affiliated currentsince Oct 12, 2025 · Santa Rosa, Ca
- Q•••••• A•••• M••••••••• I••• formerJul 21, 2015 to Jan 10, 2019 · Santa Rosa, Ca
- L•• F•••••••• L•• BD affiliatedSep 8, 2009 to Jul 23, 2015 · Santa Rosa, Ca
- A••••••••• S••••••••• C•••• unclassifiedJan 2, 2009 to Sep 8, 2009 · Santa Rosa, Ca
- F•• S••••••••• C••••••••• formerJun 21, 1998 to Dec 31, 2008 · Santa Rosa, Ca
- Q•••••• A•••• M••••••••• I••• to L•• F•••••••• L••left Jan 10, 2019, registered Oct 12, 2025 (2467 days) · Affiliated broker-dealer or bank to another
- L•• F•••••••• L•• to Q•••••• A•••• M••••••••• I•••left Jul 23, 2015, registered Jul 21, 2015 (-2 days) · Other
- A••••••••• S••••••••• C•••• to L•• F•••••••• L••left Sep 8, 2009, registered Sep 8, 2009 (0 days) · Other
- F•• S••••••••• C••••••••• to A••••••••• S••••••••• C••••left Dec 31, 2008, registered Jan 2, 2009 (2 days) · Other
- G•••••• R•••• H•••••• no longer holds an investment adviser registration (last listed at L•• F•••••••• L•• on the 2026-09-16 feed)Sep 16, 2026 · Advisor registration ended · derived
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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address