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.
- M•••••• BD affiliated currentsince Mar 18, 2025 · San Diego, Ca
- U••• B•••••• I••••••••• I••• formerOct 18, 2023 to Mar 24, 2025 · Sioux Falls, Sd
- C•••••• S••••• • C••• I••• national BDSep 18, 2007 to Jul 3, 2023 · Walnut Creek, Ca
- A•••••••• F•••• M••••••••• L•• asset managerApr 15, 2005 to Aug 14, 2007 · San Francisco, Ca
- S•••••••• A••••••• L•• national BDSep 10, 2002 to Sep 9, 2004 · Burlingame, Ca
- P••••••••• E••••• G••••• L•• unclassifiedJan 12, 2001 to Jul 8, 2002 · San Francisco, Ca
- U••• B•••••• I••••••••• I••• to M••••••left Mar 24, 2025, registered Mar 18, 2025 (-6 days) · Affiliated broker-dealer or bank to another
- C•••••• S••••• • C••• I••• to U••• B•••••• I••••••••• I•••left Jul 3, 2023, registered Oct 18, 2023 (107 days) · Affiliated broker-dealer or bank to another
- A•••••••• F•••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Aug 14, 2007, registered Sep 18, 2007 (35 days) · Other
- S•••••••• A••••••• L•• to A•••••••• F•••• M••••••••• L••left Sep 9, 2004, registered Apr 15, 2005 (218 days) · Other
- P••••••••• E••••• G••••• L•• to S•••••••• A••••••• L••left Jul 8, 2002, registered Sep 10, 2002 (64 days) · Other
- J•••• C•••••• P•••• left U••• B•••••• I••••••••• I••• for Mariner (registered 2025-03-18)Mar 24, 2025 · Advisor changed firm · fact
- J•••• C•••••• P•••• left C•••••• S••••• • C••• I••• for U••• B•••••• I••••••••• I••• (registered 2023-10-18)Jul 3, 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address