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.
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- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jun 30, 2025 · Eureka, Mo
- R•• S••••••••• I••• BD affiliatedJun 17, 2020 to Nov 19, 2021 · Los Angeles, Ca
- R•• S••••••••• I••• BD affiliatedApr 29, 2015 to Jul 23, 2018 · Walnut Creek, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 3, 2010 to Apr 28, 2015 · Walnut Creek, Ca
- D••••••• B••• S••••••••• I••• no RAUMAug 5, 2008 to Aug 30, 2010 · San Francisco, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedApr 7, 2004 to Nov 15, 2006 · Walnut Creek, Ca
- C•••••• S••••• • C••• I••• national BDMar 1, 2002 to Sep 9, 2002 · Pleasanton, Ca
- R•• S••••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Nov 19, 2021, registered Jun 30, 2025 (1319 days) · RIA to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•• S••••••••• I•••left Apr 28, 2015, registered Apr 29, 2015 (1 days) · Other
- D••••••• B••• S••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 30, 2010, registered Nov 3, 2010 (65 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to D••••••• B••• S••••••••• I•••left Nov 15, 2006, registered Aug 5, 2008 (629 days) · Other
- C•••••• S••••• • C••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Sep 9, 2002, registered Apr 7, 2004 (576 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
- National broker-dealer RIAderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address