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••••• J•••• C•••••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Sep 5, 2025 · Elk Grove, Ca
- A•••••• A••••••• S••••••• formerApr 4, 2023 to Sep 5, 2025 · Elk Grove, Ca
- H•••••• S••••••••• I••• BD affiliatedNov 29, 2017 to Apr 11, 2023 · Roseville, Ca
- O••••••••• • C•• I••• BD affiliatedSep 6, 2005 to Dec 1, 2017 · San Francisco, Ca
- M••••• S•••••• D• I••• unclassifiedJul 26, 2000 to Sep 12, 2005 · San Francisc, Ca
- A•••••• A••••••• S••••••• to C••••• I••••••••• A••••••• L••left Sep 5, 2025, registered Sep 5, 2025 (0 days) · corporate re-registration, not a move
- H•••••• S••••••••• I••• to A•••••• A••••••• S•••••••left Apr 11, 2023, registered Apr 4, 2023 (-7 days) · Affiliated broker-dealer or bank to another
- O••••••••• • C•• I••• to H•••••• S••••••••• I•••left Dec 1, 2017, registered Nov 29, 2017 (-2 days) · Other
- M••••• S•••••• D• I••• to O••••••••• • C•• I•••left Sep 12, 2005, registered Sep 6, 2005 (-6 days) · Other
- J••••• J•••• C••••••• left H•••••• S••••••••• I••• for A•••••• A••••••• S••••••• (registered 2023-04-04)Apr 11, 2023 · 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address