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.
T••••• F•••••• B••••••
- R•• S••••••••• I••• BD affiliated currentsince Jun 6, 2025 · Torrance, Ca
- H••••• I••••••••• M••••••••• L•• independent RIADec 7, 2023 to May 27, 2025 · Cincinnati, Oh
- U••• B•••••• A•••••••• L•• BD affiliatedMay 21, 2014 to Jun 23, 2023 · San Ramon, Ca
- B••••••• I••••••••• S•••••••• I••• ••••• formerJun 11, 2013 to Sep 25, 2013 · Brentwood, Ca
- N•• E•••••• S••••••••• C••••••••• formerAug 8, 2012 to May 1, 2013 · San Ramon, Ca
- C••••• I••••••••• S••••••• L•• formerJul 6, 2005 to Jun 25, 2012 · Walnut Creek, Ca
- H••••• I••••••••• M••••••••• L•• to R•• S••••••••• I•••left May 27, 2025, registered Jun 6, 2025 (10 days) · RIA to RIA
- U••• B•••••• A•••••••• L•• to H••••• I••••••••• M••••••••• L••left Jun 23, 2023, registered Dec 7, 2023 (167 days) · Affiliated broker-dealer or bank to independent RIA
- B••••••• I••••••••• S•••••••• I••• ••••• to U••• B•••••• A•••••••• L••left Sep 25, 2013, registered May 21, 2014 (238 days) · Other
- N•• E•••••• S••••••••• C••••••••• to B••••••• I••••••••• S•••••••• I••• •••••left May 1, 2013, registered Jun 11, 2013 (41 days) · Other
- C••••• I••••••••• S••••••• L•• to N•• E•••••• S••••••••• C•••••••••left Jun 25, 2012, registered Aug 8, 2012 (44 days) · Other
- T••••• F•••••• B•••••• left H••••• I••••••••• M••••••••• L•• for R•• S••••••••• I••• (registered 2025-06-06)May 27, 2025 · Advisor changed firm · fact
- T••••• F•••••• B•••••• left U••• B•••••• A•••••••• L•• for H••••• I••••••••• M••••••••• L•• (registered 2023-12-07)Jun 23, 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