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••••• E•••• B•••••••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Belmont, Ma
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 26, 2023 to Mar 31, 2025 · Framingham, Ma
- B•••••••• I••••••••• M••••••••• L•• asset managerFeb 23, 2015 to Apr 20, 2023 · San Francisco, Ca
- S•••••••• A••••••• L•• national BDSep 16, 2010 to Feb 11, 2015 · Larkspur, Ca
- U•• F•••••••• S••••••• I••• wirehouseSep 23, 1999 to May 28, 2003 · 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••••••••• M••••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Apr 20, 2023, registered Jul 26, 2023 (97 days) · Other
- S•••••••• A••••••• L•• to B•••••••• I••••••••• M••••••••• L••left Feb 11, 2015, registered Feb 23, 2015 (12 days) · Other
- U•• F•••••••• S••••••• I••• to S•••••••• A••••••• L••left May 28, 2003, registered Sep 16, 2010 (2668 days) · Wirehouse to affiliated broker-dealer or bank
- G••••• E•••• B••••••••• left B•••••••• I••••••••• M••••••••• L•• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2023-07-26)Apr 20, 2023 · 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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address