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•• A••••••• state registered currentsince Apr 11, 2025 · Santa Rosa, Ca
- S•• F•••••••• unclassifiedJan 16, 2019 to Dec 9, 2023 · Santa Rosa, Ca
- S•• F•••••••• unclassifiedAug 8, 2013 to Dec 31, 2018 · Santa Rosa, Ca
- L•• F•••••••• L•• BD affiliatedApr 13, 2012 to Oct 28, 2015 · Novato, Ca
- C•••• I••••••••• S••••••• C•••• formerMay 2, 2009 to Apr 17, 2012 · Santa Rosa, Ca
- W••• I••••••••• I••• unclassifiedNov 2, 2007 to May 2, 2009 · Santa Rosa, Ca
- I•••••••• C•••••• A••••••• formerMar 16, 2007 to Oct 30, 2007 · Tulsa, Ok
- W•••• F•••• I••••••••• L•• unclassifiedJul 7, 2005 to Aug 31, 2005 · Novato, Ca
- S•• F•••••••• to S•• A•••••••left Dec 9, 2023, registered Apr 11, 2025 (489 days) · Other
- L•• F•••••••• L•• to S•• F••••••••left Oct 28, 2015, registered Aug 8, 2013 (-811 days) · Other
- C•••• I••••••••• S••••••• C•••• to L•• F•••••••• L••left Apr 17, 2012, registered Apr 13, 2012 (-4 days) · Other
- W••• I••••••••• I••• to C•••• I••••••••• S••••••• C••••left May 2, 2009, registered May 2, 2009 (0 days) · corporate re-registration, not a move
- I•••••••• C•••••• A••••••• to W••• I••••••••• I•••left Oct 30, 2007, registered Nov 2, 2007 (3 days) · Other
- W•••• F•••• I••••••••• L•• to I•••••••• C•••••• A•••••••left Aug 31, 2005, registered Mar 16, 2007 (562 days) · Other
- S••••• J•••• L•••••• left S•• F•••••••• for S•• A••••••• (registered 2025-04-11)Dec 9, 2023 · 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
- STATE REGISTEREDderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address