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••••• N•••••
- P•••••• A•••••• G••••• L•• BD affiliated currentsince Jun 26, 2026 · Campbell, Ca
- M•••••• A•••••• N•••••• BD affiliatedJun 27, 2019 to Jun 26, 2026 · Campbell, Ca
- S•••••• W••••• P•••••••• L•• BD affiliatedJan 19, 2017 to Jun 27, 2019 · Los Gatos, Ca
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Jan 25, 2017 · Los Gatos, Ca
- W•••• F•••• I••••••••• L•• unclassifiedMar 25, 2004 to Jan 3, 2011 · Los Gatos, Ca
- M•••••• A•••••• N•••••• to P•••••• A•••••• G••••• L••left Jun 26, 2026, registered Jun 26, 2026 (0 days) · corporate re-registration, not a move
- S•••••• W••••• P•••••••• L•• to M•••••• A•••••• N••••••left Jun 27, 2019, registered Jun 27, 2019 (0 days) · RIA to RIA
- W•••• F•••• A••••••• to S•••••• W••••• P•••••••• L••left Jan 25, 2017, registered Jan 19, 2017 (-6 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
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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address