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.
R•••••• A•••• T••• A•••••••
- A• W••••• M••••••••• L•• BD affiliated currentsince Jan 28, 2025 · San Francisco, Ca
- R••••••• W••••• A••••••• L•• unclassifiedJul 22, 2024 to Jan 31, 2025 · San Francisco, Ca
- A••••••• W••••• M••••••••• L•• unclassifiedApr 24, 2019 to Dec 31, 2023 · San Francisco, Ca
- P•••••••• S••••••••• I••• BD affiliatedJun 12, 2017 to Dec 31, 2018 · San Francisco, Ca
- C••••••• C•••••• L•• unclassifiedJun 9, 2015 to Dec 14, 2016 · Issaquah, Wa
- J••• M••••• S••••••••• L•• wirehouseJan 21, 2010 to Feb 25, 2015 · San Francisco, Ca
- M••••• S•••••• wirehouseJun 1, 2009 to Feb 11, 2010 · San Francisco, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedDec 23, 2008 to Jun 1, 2009 · San Francisco, Ca
- R••••••• W••••• A••••••• L•• to A• W••••• M••••••••• L••left Jan 31, 2025, registered Jan 28, 2025 (-3 days) · Other
- A••••••• W••••• M••••••••• L•• to R••••••• W••••• A••••••• L••left Dec 31, 2023, registered Jul 22, 2024 (204 days) · Other
- P•••••••• S••••••••• I••• to A••••••• W••••• M••••••••• L••left Dec 31, 2018, registered Apr 24, 2019 (114 days) · Other
- C••••••• C•••••• L•• to P•••••••• S••••••••• I•••left Dec 14, 2016, registered Jun 12, 2017 (180 days) · Other
- J••• M••••• S••••••••• L•• to C••••••• C•••••• L••left Feb 25, 2015, registered Jun 9, 2015 (104 days) · Other
- M••••• S•••••• to J••• M••••• S••••••••• L••left Feb 11, 2010, registered Jan 21, 2010 (-21 days) · Wirehouse to wirehouse
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- R•••••• A•••• T••• A••••••• left R••••••• W••••• A••••••• L•• for A• W••••• M••••••••• L•• (registered 2025-01-28)Jan 31, 2025 · Advisor changed firm · fact
- R•••••• A•••• T••• A••••••• left A••••••• W••••• M••••••••• L•• for R••••••• W••••• A••••••• L•• (registered 2024-07-22)Dec 31, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address