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••••• T••••• S•••••• P••••••
- L•• F•••••••• L•• BD affiliated currentsince Aug 15, 2025 · San Diego, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 14, 2022 to Jun 24, 2025 · Walnut Creek, Ca
- S•••••••• A•••••••• L•• BD affiliatedJun 10, 2020 to Jan 18, 2022 · Walnut Creek, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 21, 2006 to Jun 12, 2020 · Walnut Creek, Ca
- W•••• F•••• I••••••••• L•• unclassifiedMay 15, 2001 to Jul 12, 2006 · Walnut Creek, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•• F•••••••• L••left Jun 24, 2025, registered Aug 15, 2025 (52 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- S•••••••• A•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jan 18, 2022, registered Sep 14, 2022 (239 days) · Affiliated broker-dealer or bank to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••••• A•••••••• L••left Jun 12, 2020, registered Jun 10, 2020 (-2 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- W•••• F•••• I••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 12, 2006, registered Jul 21, 2006 (9 days) · Other
- S••••• T••••• S•••••• P•••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for L•• F•••••••• L•• (registered 2025-08-15)Jun 24, 2025 · Advisor changed firm · fact
- S••••• T••••• S•••••• P•••••• left S•••••••• A•••••••• L•• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2022-09-14)Jan 18, 2022 · 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