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.
S•••••••• L••• A•••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Apr 14, 2026 · Eagle, Id
- L•• F•••••••• L•• BD affiliatedJun 4, 2015 to May 12, 2026 · Walnut Creek, Ca
- D••••••• B••• S••••••••• I••• no RAUMFeb 13, 2012 to Jun 9, 2015 · San Francisco, Ca
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Feb 15, 2012 · Lafayette, Ca
- W•••• F•••• I••••••••• L•• unclassifiedApr 30, 2003 to Jan 3, 2011 · Lafayette, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedApr 22, 2003 to Apr 25, 2003 · Reno, Nv
- L•• F•••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left May 12, 2026, registered Apr 14, 2026 (-28 days) · Affiliated broker-dealer or bank to another
- D••••••• B••• S••••••••• I••• to L•• F•••••••• L••left Jun 9, 2015, registered Jun 4, 2015 (-5 days) · Other
- W•••• F•••• A••••••• to D••••••• B••• S••••••••• I•••left Feb 15, 2012, registered Feb 13, 2012 (-2 days) · Other
- 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 25, 2003, registered Apr 30, 2003 (5 days) · Other
- S•••••••• L••• A••• left L•• F•••••••• L•• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2026-04-14)May 12, 2026 · 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