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.
M•••••• B• N•••••
- P•••••• A•••••• G••••• L•• BD affiliated currentsince Jun 26, 2026 · Morgan Hill, Ca
- M•••••• A•••••• N•••••• BD affiliatedMar 28, 2018 to Jun 26, 2026 · Santa Clara, Ca
- S•••••• W••••• P•••••••• L•• BD affiliatedDec 1, 2015 to Mar 28, 2018 · Los Gatos, Ca
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Dec 2, 2015 · Sunnyvale, Ca
- W•••• F•••• I••••••••• L•• unclassifiedMar 27, 2006 to Jan 3, 2011 · Santa Clara, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedAug 1, 2000 to Apr 7, 2006 · San Jose, Ca
- M•••••• A•••••• N•••••• to P•••••• A•••••• G••••• L••left Jun 26, 2026, registered Jun 26, 2026 (0 days) · corporate re-registration, not a move
- S•••••• W••••• P•••••••• L•• to M•••••• A•••••• N••••••left Mar 28, 2018, registered Mar 28, 2018 (0 days) · RIA to RIA
- W•••• F•••• A••••••• to S•••••• W••••• P•••••••• L••left Dec 2, 2015, registered Dec 1, 2015 (-1 days) · Other · moved with a team
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- C•••••••• G••••• M•••••• I••• to W•••• F•••• I••••••••• L••left Apr 7, 2006, registered Mar 27, 2006 (-11 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address