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.
S•••• W••••
- L•• F•••••••• L•• BD affiliated currentsince Sep 19, 2025 · San Francisco, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDNov 3, 2023 to Sep 4, 2025 · San Francisco, Ca
- C••••••• S••••••••• formerOct 4, 2021 to Nov 3, 2023 · San Francisco, Ca
- R•• S••••••••• I••• BD affiliatedMay 11, 2015 to Oct 6, 2021 · San Francisco, Ca
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Jun 12, 2013 · Minneapolis, Mn
- W•••• F•••• I••••••••• L•• unclassifiedNov 2, 2009 to Jan 3, 2011 · San Francisco, Ca
- W•••• F•••• A••••••• wirehouseFeb 29, 2008 to Nov 3, 2009 · San Leandro, Ca
- W•••• F•••• I••••••••• L•• unclassifiedOct 26, 2004 to Jan 15, 2008 · San Francisco, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedAug 7, 2002 to Aug 17, 2004 · San Francisco, Ca
- A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••left Sep 4, 2025, registered Sep 19, 2025 (15 days) · Affiliated broker-dealer or bank to another
- C••••••• S••••••••• to A••••••••• F•••••••• S•••••••• L••left Nov 3, 2023, registered Nov 3, 2023 (0 days) · corporate re-registration, not a move
- R•• S••••••••• I••• to C••••••• S•••••••••left Oct 6, 2021, registered Oct 4, 2021 (-2 days) · Other
- W•••• F•••• A••••••• to R•• S••••••••• I•••left Jun 12, 2013, registered May 11, 2015 (698 days) · Other
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to W•••• F•••• I••••••••• L••left Nov 3, 2009, registered Nov 2, 2009 (-1 days) · Other
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 15, 2008, registered Feb 29, 2008 (45 days) · Other
- C•••••••• G••••• M•••••• I••• to W•••• F•••• I••••••••• L••left Aug 17, 2004, registered Oct 26, 2004 (70 days) · Other
- S•••• W•••• left A••••••••• F•••••••• S•••••••• L•• for L•• F•••••••• L•• (registered 2025-09-19)Sep 4, 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