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.
H••••• F•••• S••••••••
- L•• F•••••••• L•• BD affiliated currentsince May 15, 2025 · Dublin, Ca
- C••• F•••••••• S•••••••• L••• formerJan 23, 2018 to May 15, 2025 · San Leandro, Ca
- S••••••• P•••••• F••••••••• L•• formerNov 24, 2014 to Dec 26, 2017 · Livermore, Ca
- L•• F•••••••• L•• BD affiliatedFeb 14, 2014 to Apr 3, 2014 · Milpitas, Ca
- W••••• F•••••••• S•••••••• L•• formerMar 16, 2006 to Feb 18, 2014 · Sunnyvale, Ca
- W•••• F•••• I••••••••• L•• unclassifiedMay 15, 2001 to Oct 31, 2002 · Palo Alto, Ca
- C••• F•••••••• S•••••••• L••• to L•• F•••••••• L••left May 15, 2025, registered May 15, 2025 (0 days) · corporate re-registration, not a move
- S••••••• P•••••• F••••••••• L•• to C••• F•••••••• S•••••••• L•••left Dec 26, 2017, registered Jan 23, 2018 (28 days) · channel change inside one enterprise, not a move
- L•• F•••••••• L•• to S••••••• P•••••• F••••••••• L••left Apr 3, 2014, registered Nov 24, 2014 (235 days) · Other
- W••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••left Feb 18, 2014, registered Feb 14, 2014 (-4 days) · Other
- W•••• F•••• I••••••••• L•• to W••••• F•••••••• S•••••••• L••left Oct 31, 2002, registered Mar 16, 2006 (1232 days) · Other
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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address