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••••• C• R•••
- S•••••••• A••••••• L•• national BD currentsince Sep 14, 2026 · Palo Alto, Ca
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Mar 26, 2024 · San Francisco, Ca
- W•••• F•••• I••••••••• L•• unclassifiedApr 5, 2004 to Jan 3, 2011 · Menlo Park, Ca
- W•••• F•••• A••••••• to S•••••••• A••••••• L••left Mar 26, 2024, registered Sep 14, 2026 (902 days) · Wirehouse to affiliated broker-dealer or bank
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- D••••• C• R••• registered as an investment adviser representative at S•••••••• A••••••• L••Sep 14, 2026 · Advisor registered · 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
- National broker-dealer RIAderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address