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.
V••••• J••• T••••••••
- L•• F•••••••• L•• BD affiliated currentsince May 21, 2025 · Alamo, Ca
- A•••••••• W••••• A••••••• formerOct 5, 2015 to May 30, 2025 · Alamo, Ca
- F•••• A••••• A••••••• S•••••••• I••• formerJul 2, 2012 to Apr 2, 2015 · Alamo, Ca
- F•••• A••••• S••••••••• I••• formerOct 8, 2007 to Jul 2, 2012 · San Diego, Ca
- C••••• A•••••• N••••••• L•• formerSep 9, 2004 to Sep 14, 2007 · Oroville, Ca
- U•• F•••••••• S••••••• I••• wirehouseAug 30, 2002 to Oct 30, 2003 · Walnut Creek, Ca
- M••••• S•••••• D• I••• unclassifiedNov 23, 1998 to Sep 5, 2002 · San Francisco, Ca
- A•••••••• W••••• A••••••• to L•• F•••••••• L••left May 30, 2025, registered May 21, 2025 (-9 days) · RIA to affiliated broker-dealer or bank · moved with a team
- F•••• A••••• A••••••• S•••••••• I••• to A•••••••• W••••• A•••••••left Apr 2, 2015, registered Oct 5, 2015 (186 days) · Other · moved with a team
- F•••• A••••• S••••••••• I••• to F•••• A••••• A••••••• S•••••••• I•••left Jul 2, 2012, registered Jul 2, 2012 (0 days) · corporate re-registration, not a move
- C••••• A•••••• N••••••• L•• to F•••• A••••• S••••••••• I•••left Sep 14, 2007, registered Oct 8, 2007 (24 days) · Other
- U•• F•••••••• S••••••• I••• to C••••• A•••••• N••••••• L••left Oct 30, 2003, registered Sep 9, 2004 (315 days) · Other
- M••••• S•••••• D• I••• to U•• F•••••••• S••••••• I•••left Sep 5, 2002, registered Aug 30, 2002 (-6 days) · Other
- V••••• J••• T•••••••• left A•••••••• W••••• A••••••• for L•• F•••••••• L•• (registered 2025-05-21)May 30, 2025 · a•••••• firm change · 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address