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•••• M• T••••••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Sunnyvale, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Mar 31, 2025 · Boston, Ma
- S•••••••• A••••••• L•• national BDJul 17, 2017 to Jul 13, 2018 · Palo Alto, Ca
- S•• I••••••••• S••••••• I••• formerAug 22, 2013 to May 30, 2017 · Menlo Park, Ca
- S•••••••• A••••••• L•• national BDSep 8, 2003 to Jul 18, 2013 · Palo Alto, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- S•• I••••••••• S••••••• I••• to S•••••••• A••••••• L••left May 30, 2017, registered Jul 17, 2017 (48 days) · Other
- S•••••••• A••••••• L•• to S•• I••••••••• S••••••• I•••left Jul 18, 2013, registered Aug 22, 2013 (35 days) · Affiliated broker-dealer or bank to a newly registered adviser
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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address