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.
M•••••• S••••••
- W•••• F•••• A••••••• wirehouse currentsince Sep 24, 2025 · San Francisco, Ca
- L•• F•••••••• L•• BD affiliatedFeb 19, 2021 to Jul 30, 2025 · San Diego, Ca
- A••••••• B••••• A•••••••• I••• otherApr 30, 2012 to Sep 21, 2022 · Irving, Tx
- E•••••••• P•••••••• S••••••••• I••• independent RIAOct 4, 2011 to Dec 20, 2011 · Berwyn, Pa
- D••••••• S••••••• L•• formerMay 6, 2010 to Dec 1, 2010 · West Chester, Pa
- W••• I••••••••• I••• unclassifiedMar 7, 2005 to Jul 17, 2006 · Seattle, Wa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 20, 2000 to Mar 2, 2005 · Seattle, Wa
- L•• F•••••••• L•• to W•••• F•••• A•••••••left Jul 30, 2025, registered Sep 24, 2025 (56 days) · Affiliated broker-dealer or bank to wirehouse
- A••••••• B••••• A•••••••• I••• to L•• F•••••••• L••left Sep 21, 2022, registered Feb 19, 2021 (-579 days) · Other
- E•••••••• P•••••••• S••••••••• I••• to A••••••• B••••• A•••••••• I•••left Dec 20, 2011, registered Apr 30, 2012 (132 days) · Other
- D••••••• S••••••• L•• to E•••••••• P•••••••• S••••••••• I•••left Dec 1, 2010, registered Oct 4, 2011 (307 days) · Other
- W••• I••••••••• I••• to D••••••• S••••••• L••left Jul 17, 2006, registered May 6, 2010 (1389 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W••• I••••••••• I•••left Mar 2, 2005, registered Mar 7, 2005 (5 days) · Other
- M•••••• S•••••• left L•• F•••••••• L•• for W•••• F•••• A••••••• (registered 2025-09-24)Jul 30, 2025 · Advisor changed firm · fact
- M•••••• S•••••• left A••••••• B••••• A•••••••• I••• for L•• F•••••••• L•• (registered 2021-02-19)Sep 21, 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
- Wirehousederived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address