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.
D••• J••••••
- C•••••• A•••• M••••••••• L•• independent RIA currentsince Dec 17, 2024 · Chicago, Il
- J••• M••••• P•••••• W••••• A••••••• L•• formerSep 30, 2015 to May 17, 2023 · Menlo Park, Ca
- C••••••••• W••••• A••••••• L•• formerSep 23, 2011 to Sep 30, 2015 · Menlo Park, Ca
- E••• A•••••••• L•• unclassifiedMay 23, 2011 to Sep 22, 2011 · San Francisco, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 8, 1997 to Jan 6, 2010 · San Francisco, Ca
- J••• M••••• P•••••• W••••• A••••••• L•• to C•••••• A•••• M••••••••• L••left May 17, 2023, registered Dec 17, 2024 (580 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- C••••••••• W••••• A••••••• L•• to J••• M••••• P•••••• W••••• A••••••• L••left Sep 30, 2015, registered Sep 30, 2015 (0 days) · Other · moved with a team
- E••• A•••••••• L•• to C••••••••• W••••• A••••••• L••left Sep 22, 2011, registered Sep 23, 2011 (1 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E••• A•••••••• L••left Jan 6, 2010, registered May 23, 2011 (502 days) · Other
- D••• J•••••• left J••• M••••• P•••••• W••••• A••••••• L•• for C•••••• A•••• M••••••••• L•• (registered 2024-12-17)May 17, 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
- Independent wealth managerderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address