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.
J••••••• C••••••••• M••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Jan 5, 2026 · New York, Ny
- C•••••• W••••• M••••••••• formerMar 31, 2014 to Sep 30, 2015 · San Jose, Ca
- B••••••• I••••••••• S•••••••• I••• ••••• formerMay 15, 2012 to Feb 21, 2013 · Mountain View, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDJan 26, 2011 to May 3, 2012 · San Jose, Ca
- C•••••• S••••• • C••• I••• national BDAug 17, 2005 to Jun 3, 2009 · Cupertino, Ca
- M••••• S•••••• D• I••• unclassifiedMay 4, 2004 to Jan 13, 2005 · San Jose, Ca
- C•••••• W••••• M••••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 30, 2015, registered Jan 5, 2026 (3750 days) · Other
- B••••••• I••••••••• S•••••••• I••• ••••• to C•••••• W••••• M•••••••••left Feb 21, 2013, registered Mar 31, 2014 (403 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to B••••••• I••••••••• S•••••••• I••• •••••left May 3, 2012, registered May 15, 2012 (12 days) · Other
- C•••••• S••••• • C••• I••• to A••••••••• F•••••••• S•••••••• L••left Jun 3, 2009, registered Jan 26, 2011 (602 days) · Affiliated broker-dealer or bank to another
- M••••• S•••••• D• I••• to C•••••• S••••• • C••• I•••left Jan 13, 2005, registered Aug 17, 2005 (216 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
- Wirehousederived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address