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•••••• C•••••
- U••• B•••••• A•••••••• L•• BD affiliated currentsince Feb 13, 2026 · San Francisco, Ca
- U••• B•••••• I••••••••• I••• formerJun 2, 2023 to Feb 13, 2026 · San Francisco, Ca
- U••• B•••••• A•••••••• L•• BD affiliatedSep 24, 2019 to May 31, 2023 · San Francisco, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Jul 16, 2019 · San Francisco, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedJan 10, 2005 to Oct 23, 2009 · San Francisco, Ca
- U••• B•••••• I••••••••• I••• to U••• B•••••• A•••••••• L••left Feb 13, 2026, registered Feb 13, 2026 (0 days) · corporate re-registration, not a move
- U••• B•••••• A•••••••• L•• to U••• B•••••• I••••••••• I•••left May 31, 2023, registered Jun 2, 2023 (2 days) · Affiliated broker-dealer or bank to another · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U••• B•••••• A•••••••• L••left Jul 16, 2019, registered Sep 24, 2019 (70 days) · Wirehouse to affiliated broker-dealer or bank
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
- N••••• P•••••• C••••• left U••• B•••••• A•••••••• L•• for U••• B•••••• I••••••••• I••• (registered 2023-06-02)May 31, 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address