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.
C•••••• P••• A•••••••
- S••••• W••••• M••••••••• L•• independent RIA currentsince Oct 1, 2025 · Fairfield, Nj
- R•• R•••••••• L•• BD affiliatedDec 18, 2002 to Sep 17, 2025 · San Francisco, Ca
- R•• R•••••••• L•• BD affiliatedFeb 27, 2001 to May 2, 2002 · San Francisco, Ca
- R•• R•••••••• L•• to S••••• W••••• M••••••••• L••left Sep 17, 2025, registered Oct 1, 2025 (14 days) · Affiliated broker-dealer or bank to independent RIA
- C•••••• P••• A••••••• left R•• R•••••••• L•• for S••••• W••••• M••••••••• L•• (registered 2025-10-01)Sep 17, 2025 · 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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address