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.
N••• P•••
- J••• M••••• S••••••••• L•• wirehouse currentsince Jan 22, 2024 · San Francisco, Ca
- J••• M••••• P•••••• W••••• A••••••• L•• formerNov 4, 2022 to Mar 20, 2025 · San Franisco, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 4, 2007 to Sep 28, 2022 · San Francisco, Ca
- J••• M••••• P•••••• W••••• A••••••• L•• to J••• M••••• S••••••••• L••left Mar 20, 2025, registered Jan 22, 2024 (-423 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• P•••••• W••••• A••••••• L••left Sep 28, 2022, registered Nov 4, 2022 (37 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- N••• P••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for J••• M••••• P•••••• W••••• A••••••• L•• (registered 2022-11-04)Sep 28, 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address