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.
C•••••••• H•••••• O••••
- P•••••• A•••••• G••••• L•• BD affiliated currentsince Jun 26, 2026 · Roseville, Ca
- L•• F•••••••• L•• BD affiliated currentsince Mar 2, 2021 · Roseville, Ca
- M•••••• A•••••• N•••••• BD affiliatedFeb 8, 2021 to Jun 26, 2026 · Campbell, Ca
- W•••••• • R••• formerMar 9, 2018 to Feb 10, 2021 · Seattle, Wa
- L•• F•••••••• L•• BD affiliatedMar 23, 2010 to Mar 22, 2018 · San Jose, Ca
- C•••• I••••••••• S••••••• C•••• formerFeb 3, 2010 to Mar 23, 2010 · San Diego, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Jan 20, 2010 · Santa Clara, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedAug 1, 2006 to Oct 23, 2009 · Santa Clara, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedOct 20, 2004 to Jul 13, 2006 · San Jose, Ca
- M•••••• A•••••• N•••••• to L•• F•••••••• L••left Jun 26, 2026, registered Mar 2, 2021 (-1942 days) · Affiliated broker-dealer or bank to another · moved with a team
- W•••••• • R••• to M•••••• A•••••• N••••••left Feb 10, 2021, registered Feb 8, 2021 (-2 days) · Affiliated broker-dealer or bank to independent RIA
- L•• F•••••••• L•• to W•••••• • R•••left Mar 22, 2018, registered Mar 9, 2018 (-13 days) · Other
- C•••• I••••••••• S••••••• C•••• to L•• F•••••••• L••left Mar 23, 2010, registered Mar 23, 2010 (0 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••• I••••••••• S••••••• C••••left Jan 20, 2010, registered Feb 3, 2010 (14 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
- C•••••••• G••••• M•••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Jul 13, 2006, registered Aug 1, 2006 (19 days) · Other
- C•••••••• H•••••• O•••• left M•••••• A•••••• N•••••• for L•• F•••••••• L•• (registered 2021-03-02)Jun 26, 2026 · a•••••• firm change · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address