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.
J••••• S•••••••
- W•••• F•••• A••••••• wirehouse currentsince Dec 1, 2025 · Las Vegas, Nv
- O•••• W•••••• I••• BD affiliatedSep 1, 2023 to Dec 4, 2025 · Las Vegas, Nv
- S•••••••• F••••••••• I••• formerNov 30, 2018 to Sep 1, 2023 · Newark, Ca
- G••••• C•••••• S••••••••• formerJul 13, 2018 to Dec 7, 2018 · Newark, Ca
- G••••• C•••••• S••••••••• formerJan 26, 2018 to Mar 19, 2018 · Newark, Ca
- C••••••• • C••• I••• formerJan 23, 2018 to Dec 10, 2018 · Newark, Ca
- W•••• F•••• A••••••• wirehouseFeb 26, 2010 to Jan 29, 2018 · Newark, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Mar 2, 2010 · Hayward, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedMar 31, 2004 to Oct 23, 2009 · Walnut Creek, Ca
- W•••• F•••• I••••••••• L•• unclassifiedMay 15, 2001 to Apr 12, 2004 · Newark, Ca
- O•••• W•••••• I••• to W•••• F•••• A•••••••left Dec 4, 2025, registered Dec 1, 2025 (-3 days) · Affiliated broker-dealer or bank to wirehouse
- S•••••••• F••••••••• I••• to O•••• W•••••• I•••left Sep 1, 2023, registered Sep 1, 2023 (0 days) · corporate re-registration, not a move
- C••••••• • C••• I••• to G••••• C•••••• S•••••••••left Dec 10, 2018, registered Jan 26, 2018 (-318 days) · Other
- G••••• C•••••• S••••••••• to S•••••••• F••••••••• I•••left Dec 7, 2018, registered Nov 30, 2018 (-7 days) · Other
- W•••• F•••• A••••••• to C••••••• • C••• I•••left Jan 29, 2018, registered Jan 23, 2018 (-6 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Mar 2, 2010, registered Feb 26, 2010 (-4 days) · Wirehouse to wirehouse
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
- W•••• F•••• I••••••••• L•• to B••• O• A•••••• I••••••••• S•••••••• I•••left Apr 12, 2004, registered Mar 31, 2004 (-12 days) · Other
- J••••• S••••••• left O•••• W•••••• I••• for W•••• F•••• A••••••• (registered 2025-12-01)Dec 4, 2025 · 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
- Wirehousederived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address