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.
R•••••• M••••••••• P••••••
- S••••• M••••••••• independent RIA currentsince Jan 1, 2025 · El Cerrito, Ca
- N••••• mixed wealthJun 16, 2016 to Oct 3, 2020 · Walnut Creek, Ca
- W••••••••• formerMar 16, 2016 to Jul 15, 2016 · El Cerrito, Ca
- A••••••••• A••••••• L•• formerJun 25, 2012 to Jul 15, 2016 · Walnut Creek, Ca
- B• R•••• W••••• M••••••••• formerApr 26, 2011 to Jun 5, 2012 · El Cerrito, Ca
- C•••••• S••••• • C••• I••• national BDDec 7, 2004 to May 17, 2011 · Walnut Creek, Ca
- I••• S••••••••• I••• unclassifiedAug 5, 2004 to Nov 12, 2004 · Sausalito, Ca
- W••• I••••••••• I••• unclassifiedJan 7, 2004 to Aug 5, 2004 · Oakland, Ca
- M••••• S•••••• D• I••• unclassifiedMay 16, 2003 to Dec 1, 2003 · San Francisc, Ca
- N••••• to S••••• M•••••••••left Oct 3, 2020, registered Jan 1, 2025 (1551 days) · RIA to RIA
- A••••••••• A••••••• L•• to W•••••••••left Jul 15, 2016, registered Mar 16, 2016 (-121 days) · Other · moved with a team
- W••••••••• to N•••••left Jul 15, 2016, registered Jun 16, 2016 (-29 days) · Other · moved with a team
- B• R•••• W••••• M••••••••• to A••••••••• A••••••• L••left Jun 5, 2012, registered Jun 25, 2012 (20 days) · Other
- C•••••• S••••• • C••• I••• to B• R•••• W••••• M•••••••••left May 17, 2011, registered Apr 26, 2011 (-21 days) · Other
- I••• S••••••••• I••• to C•••••• S••••• • C••• I•••left Nov 12, 2004, registered Dec 7, 2004 (25 days) · Other
- W••• I••••••••• I••• to I••• S••••••••• I•••left Aug 5, 2004, registered Aug 5, 2004 (0 days) · Other
- M••••• S•••••• D• I••• to W••• I••••••••• I•••left Dec 1, 2003, registered Jan 7, 2004 (37 days) · Other
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
- Independent wealth managerderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address