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.
J•••• F••••• J••••
- S••••••• W••••• M••••••••• L•• independent RIA currentsince Jan 1, 2025 · Purchase, Ny
- O••••••••• A•••• M••••••••• L•• independent RIADec 23, 2013 to May 2, 2019 · Burlingame, Ca
- S••••••• W••••• M••••••••• L•• independent RIAMay 10, 2012 to Jan 7, 2014 · San Francisco, Ca
- R•••••• J•••• • A••••••••• I••• national BDMar 19, 2012 to Apr 17, 2012 · San Francisco, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 17, 1998 to Mar 30, 2012 · San Francisco, Ca
- O••••••••• A•••• M••••••••• L•• to S••••••• W••••• M••••••••• L••left May 2, 2019, registered Jan 1, 2025 (2071 days) · RIA to RIA
- S••••••• W••••• M••••••••• L•• to O••••••••• A•••• M••••••••• L••left Jan 7, 2014, registered Dec 23, 2013 (-15 days) · Other
- R•••••• J•••• • A••••••••• I••• to S••••••• W••••• M••••••••• L••left Apr 17, 2012, registered May 10, 2012 (23 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•••••• J•••• • A••••••••• I•••left Mar 30, 2012, registered Mar 19, 2012 (-11 days) · Wirehouse to affiliated broker-dealer or bank
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