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•••••• L•••••• M• C••••
- P•••••• A•••••• G••••• L•• BD affiliated currentsince Jun 26, 2026 · Morristown, Nj
- M•••••• A•••••• N•••••• BD affiliatedJul 8, 2016 to Jun 26, 2026 · Walnut Creek, Ca
- S•••••••• W••••• A••••••• G•••• formerApr 6, 2016 to Jul 8, 2016 · Walnut Creek, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDFeb 24, 2010 to Dec 2, 2014 · San Francisco, Ca
- L•• F•••••••• L•• BD affiliatedSep 4, 2007 to Feb 10, 2010 · San Francisco, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDFeb 8, 2006 to Jul 31, 2007 · Walnut Creek , Ca
- A••••••••• F•••••••• S•••••••• L•• national BDAug 27, 2003 to Oct 7, 2003 · Walnut Crek, 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••••• A••••••• G•••• to M•••••• A•••••• N••••••left Jul 8, 2016, registered Jul 8, 2016 (0 days) · corporate re-registration, not a move
- A••••••••• F•••••••• S•••••••• L•• to S•••••••• W••••• A••••••• G••••left Dec 2, 2014, registered Apr 6, 2016 (491 days) · Other
- L•• F•••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Feb 10, 2010, registered Feb 24, 2010 (14 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••left Jul 31, 2007, registered Sep 4, 2007 (35 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
- 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