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•••• R••••••• R••••
- G•• S••••••••• I••• BD affiliated currentsince Mar 25, 2025 · Palm Beach Gardens, Fl
- I••••••• F•••••••• S••••••• A••••••• independent RIAApr 18, 2020 to Mar 31, 2025 · Oakland, Ca
- I••••••• F•••••••• S••••••• unclassifiedApr 8, 2015 to Dec 31, 2020 · Oakland, Ca
- C•••••••• F•••••••• G•••• A••••••• formerJul 16, 2014 to Apr 14, 2015 · San Diego, Ca
- E•••• • Y•••• I••••••••• A••••••• L•• no RAUMAug 16, 2007 to Oct 8, 2013 · La Jolla, Ca
- U••• B•••••• A•••••••• L•• BD affiliatedAug 11, 2006 to Jan 11, 2007 · San Diego, Ca
- E•••••••• A•••••••• L•• national BDJul 2, 2002 to Oct 14, 2004 · San Diego, Ca
- I••••••• F•••••••• S••••••• A••••••• to G•• S••••••••• I•••left Mar 31, 2025, registered Mar 25, 2025 (-6 days) · RIA to affiliated broker-dealer or bank
- I••••••• F•••••••• S••••••• to I••••••• F•••••••• S••••••• A•••••••left Dec 31, 2020, registered Apr 18, 2020 (-257 days) · Other
- C•••••••• F•••••••• G•••• A••••••• to I••••••• F•••••••• S•••••••left Apr 14, 2015, registered Apr 8, 2015 (-6 days) · Other
- E•••• • Y•••• I••••••••• A••••••• L•• to C•••••••• F•••••••• G•••• A•••••••left Oct 8, 2013, registered Jul 16, 2014 (281 days) · Other
- U••• B•••••• A•••••••• L•• to E•••• • Y•••• I••••••••• A••••••• L••left Jan 11, 2007, registered Aug 16, 2007 (217 days) · Other
- E•••••••• A•••••••• L•• to U••• B•••••• A•••••••• L••left Oct 14, 2004, registered Aug 11, 2006 (666 days) · Other
- M•••• R••••••• R•••• left I••••••• F•••••••• S••••••• A••••••• for G•• S••••••••• I••• (registered 2025-03-25)Mar 31, 2025 · 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address