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.
L•••• L•• Y•••
- C••••••• S••••••••• I••• BD affiliated currentsince Feb 26, 2025 · Syracuse, Ny
- J••• M••••• S••••••••• L•• wirehouseMay 28, 2024 to Jul 13, 2024 · San Francisco, Ca
- J••• M••••• P•••••• W••••• A••••••• L•• formerOct 24, 2017 to Jul 17, 2024 · San Francisco, Ca
- M••••• S•••••• wirehouseJan 22, 2014 to May 15, 2015 · Palo Alto, Ca
- T••••••••• L•• formerMay 7, 2007 to Dec 14, 2011 · San Francisco, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedJun 17, 2004 to Apr 17, 2007 · Palo Alto, Ca
- J••• M••••• P•••••• W••••• A••••••• L•• to J••• M••••• S••••••••• L••left Jul 17, 2024, registered May 28, 2024 (-50 days) · channel change inside one enterprise, not a move · moved with a team
- J••• M••••• S••••••••• L•• to C••••••• S••••••••• I•••left Jul 13, 2024, registered Feb 26, 2025 (228 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• to J••• M••••• P•••••• W••••• A••••••• L••left May 15, 2015, registered Oct 24, 2017 (893 days) · Other
- T••••••••• L•• to M••••• S••••••left Dec 14, 2011, registered Jan 22, 2014 (770 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to T••••••••• L••left Apr 17, 2007, registered May 7, 2007 (20 days) · Other
- L•••• L•• Y••• left J••• M••••• S••••••••• L•• for C••••••• S••••••••• I••• (registered 2025-02-26)Jul 13, 2024 · 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address