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.
D••••• F• F••••
- C••••••••• F•••••••• N•••••• national BD currentsince Jan 7, 2025 · Campbell, Ca
- O•••• F•• I••• formerOct 8, 2002 to Jan 8, 2025 · Campbell, Ca
- O•••• F•• I••• to C••••••••• F•••••••• N••••••left Jan 8, 2025, registered Jan 7, 2025 (-1 days) · Affiliated broker-dealer or bank to another
- D••••• F• F•••• left O•••• F•• I••• for C••••••••• F•••••••• N•••••• (registered 2025-01-07)Jan 8, 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
- National broker-dealer RIAderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address