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•••••• wirehouse currentsince Sep 19, 2025 · San Francisco, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedJun 5, 2017 to Sep 26, 2025 · San Francisco, Ca
- L•• F•••••••• L•• BD affiliatedSep 29, 2016 to Jun 14, 2017 · Los Gatos, Ca
- W•••• F•••• A••••••• wirehouseApr 4, 2011 to Aug 18, 2016 · San Jose, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Apr 5, 2011 · Mountain View, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedNov 26, 2007 to Oct 23, 2009 · Fremont, Ca
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Nov 27, 2007 · San Jose, Ca
- M••••• S•••••• D• I••• unclassifiedJun 22, 2005 to Apr 2, 2007 · San Jose, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDNov 22, 2004 to Mar 14, 2005 · Campbell, Ca
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Sep 26, 2025, registered Sep 19, 2025 (-7 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- L•• F•••••••• L•• to C•••••••• G••••• M•••••• I•••left Jun 14, 2017, registered Jun 5, 2017 (-9 days) · Other
- W•••• F•••• A••••••• to L•• F•••••••• L••left Aug 18, 2016, registered Sep 29, 2016 (42 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Apr 5, 2011, registered Apr 4, 2011 (-1 days) · Wirehouse to wirehouse
- 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
- M••••• S•••••• • C•• L•• to B••• O• A•••••• I••••••••• S•••••••• I•••left Nov 27, 2007, registered Nov 26, 2007 (-1 days) · Other
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- A••••••••• F•••••••• S•••••••• L•• to M••••• S•••••• D• I•••left Mar 14, 2005, registered Jun 22, 2005 (100 days) · Other
- E••• D••••••• left C•••••••• G••••• M•••••• I••• for M••••• S•••••• (registered 2025-09-19)Sep 26, 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
- Wirehousederived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address