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.
P•••• F•••• K••••••
- L•• F•••••••• L•• BD affiliated currentsince Jan 22, 2026 · Novato, Ca
- W•••••• I••••••••• S••••••••• formerMar 22, 2016 to Jun 5, 2025 · Petaluma, Ca
- W•••• F•••• A••••••• wirehouseJul 24, 2013 to Mar 9, 2016 · San Francisco, Ca
- U•• F•••••••• S••••••• I••• wirehouseJul 8, 1997 to Apr 15, 2009 · San Francisco, Ca
- W•••••• I••••••••• S••••••••• to L•• F•••••••• L••left Jun 5, 2025, registered Jan 22, 2026 (231 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to W•••••• I••••••••• S•••••••••left Mar 9, 2016, registered Mar 22, 2016 (13 days) · Other
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Apr 15, 2009, registered Jul 24, 2013 (1561 days) · Wirehouse to wirehouse
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
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address