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••• W••••• H•••••••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Apr 21, 2025 · Walnut Creek, Ca
- S•••••• N••••••• • C••••••• I••••••••• national BDNov 2, 2011 to May 9, 2025 · San Francisco, Ca
- S•••• • Y•••••••• L•• formerJan 8, 2004 to Nov 2, 2011 · San Francisco, Ca
- S•••••• N••••••• • C••••••• I••••••••• to R•••••• J•••• • A••••••••• I•••left May 9, 2025, registered Apr 21, 2025 (-18 days) · Affiliated broker-dealer or bank to another
- S•••• • Y•••••••• L•• to S•••••• N••••••• • C••••••• I•••••••••left Nov 2, 2011, registered Nov 2, 2011 (0 days) · channel change inside one enterprise, not a move
- J••• W••••• H••••••••• left S•••••• N••••••• • C••••••• I••••••••• for R•••••• J•••• • A••••••••• I••• (registered 2025-04-21)May 9, 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
- National broker-dealer RIAderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address