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••••• mixed wealth currentsince Feb 13, 2025 · Walnut Creek, Ca
- L•••••• A•••• M••••••••• formerJul 1, 2020 to Feb 14, 2025 · San Diego, Ca
- F•• S••••••••• C••••••••• formerJan 7, 2019 to Jul 2, 2020 · Walnut Creek, Ca
- L•• F•••••••• L•• BD affiliatedDec 12, 2008 to Apr 23, 2009 · Oakland, Ca
- F•• S••••••••• C••••••••• formerApr 3, 2008 to Dec 12, 2008 · San Mateo, Ca
- C••••• A•••••• N••••••• L•• formerMay 11, 2007 to Apr 2, 2008 · Oakland, Ca
- E••••• J•••• national BDMar 14, 2007 to May 7, 2007 · Oakland, Ca
- L•••••• A•••• M••••••••• to S••••••••• W•••••left Feb 14, 2025, registered Feb 13, 2025 (-1 days) · corporate re-registration, not a move
- F•• S••••••••• C••••••••• to L•••••• A•••• M•••••••••left Jul 2, 2020, registered Jul 1, 2020 (-1 days) · Affiliated broker-dealer or bank to independent RIA
- L•• F•••••••• L•• to F•• S••••••••• C•••••••••left Apr 23, 2009, registered Jan 7, 2019 (3546 days) · Other
- F•• S••••••••• C••••••••• to L•• F•••••••• L••left Dec 12, 2008, registered Dec 12, 2008 (0 days) · Other
- C••••• A•••••• N••••••• L•• to F•• S••••••••• C•••••••••left Apr 2, 2008, registered Apr 3, 2008 (1 days) · Other
- E••••• J•••• to C••••• A•••••• N••••••• L••left May 7, 2007, registered May 11, 2007 (4 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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address