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•••• T••••• L••
- U••• B•••••• A•••••••• L•• BD affiliated currentsince Feb 13, 2026 · Los Altos, Ca
- U••• B•••••• I••••••••• I••• formerMay 31, 2022 to Feb 13, 2026 · Palo Alto, Ca
- B••••••• I••••••••• S•••••••• I••• ••••• formerJul 10, 2014 to Jun 4, 2022 · Menlo Park, Ca
- M••••• S•••••• wirehouseSep 2, 2011 to Jan 13, 2014 · Palo Alto, Ca
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Sep 7, 2011 · Fremont, Ca
- W•••• F•••• I••••••••• L•• unclassifiedJul 13, 2006 to Jan 3, 2011 · Fremont, Ca
- W•••••• • R••• formerOct 25, 2002 to May 18, 2004 · Dublin, Ca
- U••• B•••••• I••••••••• I••• to U••• B•••••• A•••••••• L••left Feb 13, 2026, registered Feb 13, 2026 (0 days) · corporate re-registration, not a move
- B••••••• I••••••••• S•••••••• I••• ••••• to U••• B•••••• I••••••••• I•••left Jun 4, 2022, registered May 31, 2022 (-4 days) · Affiliated broker-dealer or bank to another
- M••••• S•••••• to B••••••• I••••••••• S•••••••• I••• •••••left Jan 13, 2014, registered Jul 10, 2014 (178 days) · Other
- W•••• F•••• A••••••• to M••••• S••••••left Sep 7, 2011, registered Sep 2, 2011 (-5 days) · Wirehouse to wirehouse
- 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•••••• • R••• to W•••• F•••• I••••••••• L••left May 18, 2004, registered Jul 13, 2006 (786 days) · Other
- D•••• T••••• L•• left B••••••• I••••••••• S•••••••• I••• ••••• for U••• B•••••• I••••••••• I••• (registered 2022-05-31)Jun 4, 2022 · 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address