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••• H• S••
- S•••••• P••••••• I••••••••• A•••••••• L•• BD affiliated currentsince Jun 30, 2025 · Stamford, Ct
- S•••••• W••••• M••••••••• formerJul 14, 2015 to Sep 4, 2025 · Danville, Ca
- C•••••••• W••••• M••••••••• formerOct 20, 2010 to Sep 4, 2025 · San Ramon, Ca
- L•••••••• F••••••••• M••••••••• L•• independent RIAAug 18, 2010 to Jan 4, 2011 · Pleasant Hill, Ca
- D••••••••• W••••• M••••••••• independent RIAJan 12, 2004 to Aug 9, 2010 · Walnut Creek, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 24, 2000 to Apr 19, 2004 · San Francisco, Ca
- C•••••••• W••••• M••••••••• to S•••••• W••••• M•••••••••left Sep 4, 2025, registered Jul 14, 2015 (-3705 days) · Other · moved with a team
- S•••••• W••••• M••••••••• to S•••••• P••••••• I••••••••• A•••••••• L••left Sep 4, 2025, registered Jun 30, 2025 (-66 days) · RIA to affiliated broker-dealer or bank · moved with a team
- L•••••••• F••••••••• M••••••••• L•• to C•••••••• W••••• M•••••••••left Jan 4, 2011, registered Oct 20, 2010 (-76 days) · Other
- D••••••••• W••••• M••••••••• to L•••••••• F••••••••• M••••••••• L••left Aug 9, 2010, registered Aug 18, 2010 (9 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to D••••••••• W••••• M•••••••••left Apr 19, 2004, registered Jan 12, 2004 (-98 days) · Other
- J••• H• S•• left S•••••• W••••• M••••••••• for S•••••• P••••••• I••••••••• A•••••••• L•• (registered 2025-06-30)Sep 4, 2025 · Advisor changed firm · fact
- J••• H• S•• left C•••••••• W••••• M••••••••• for S•••••• W••••• M••••••••• (registered 2015-07-14)Sep 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address