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.
K••••••••• S•••••••••
- S•••••••• A••••••• L•• national BD currentsince Jan 14, 2026 · Burlingame, Ca
- A•••••••• C•••••• M••••••••• L•• otherJan 14, 2019 to Apr 12, 2021 · Los Angeles, Ca
- A••••• A•• P••••••• S••••••• BD affiliatedJun 16, 2016 to Oct 23, 2018 · Palo Alto, Ca
- B••••••• J•••• L•• independent RIAMar 22, 2013 to May 16, 2016 · San Francisco, Ca
- F••••• I••••••••• independent RIADec 13, 2005 to Feb 21, 2013 · Plano, Tx
- A•••••••• C•••••• M••••••••• L•• to S•••••••• A••••••• L••left Apr 12, 2021, registered Jan 14, 2026 (1738 days) · Other
- A••••• A•• P••••••• S••••••• to A•••••••• C•••••• M••••••••• L••left Oct 23, 2018, registered Jan 14, 2019 (83 days) · Other
- B••••••• J•••• L•• to A••••• A•• P••••••• S•••••••left May 16, 2016, registered Jun 16, 2016 (31 days) · Other
- F••••• I••••••••• to B••••••• J•••• L••left Feb 21, 2013, registered Mar 22, 2013 (29 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