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•••• G••••• Y••••••
- I••••• I•••••••• independent RIA currentsince Jan 1, 2025 · Aptos, Ca
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedJun 27, 2016 to Jun 26, 2018 · Berkeley, Ca
- P•••••••• I•••••••• O• A•••••• formerNov 6, 2014 to Jul 22, 2016 · Berkeley, Ca
- C••••• A••••••• L•• formerFeb 28, 2012 to Nov 7, 2014 · Greenwood Village, Co
- B••• S••••• W••••• M••••••••• independent RIAJan 28, 2010 to Nov 28, 2014
- B••• S••••• W••••• M••••••••• independent RIAApr 24, 2009 to Dec 31, 2009 · La Mesa, Ca
- P•••••• W••• F•••••••• C••••••••• I•• formerJan 6, 2009 to Feb 28, 2012 · Renton, Wa
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedJul 18, 2005 to Dec 31, 2008 · La Mesa, Ca
- W•••• F•••• I••••••••• L•• unclassifiedOct 11, 2004 to Jul 20, 2005 · San Diego, Ca
- C•••••••• I••••••••• R••••••• A•••••••• I••• to I••••• I••••••••left Jun 26, 2018, registered Jan 1, 2025 (2381 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- P•••••••• I•••••••• O• A•••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Jul 22, 2016, registered Jun 27, 2016 (-25 days) · Other · moved with a team
- B••• S••••• W••••• M••••••••• to C••••• A••••••• L••left Nov 28, 2014, registered Feb 28, 2012 (-1004 days) · Other
- C••••• A••••••• L•• to P•••••••• I•••••••• O• A••••••left Nov 7, 2014, registered Nov 6, 2014 (-1 days) · Other
- P•••••• W••• F•••••••• C••••••••• I•• to B••• S••••• W••••• M•••••••••left Feb 28, 2012, registered Apr 24, 2009 (-1040 days) · Other
- C•••••••• I••••••••• R••••••• A•••••••• I••• to P•••••• W••• F•••••••• C••••••••• I••left Dec 31, 2008, registered Jan 6, 2009 (6 days) · Other
- W•••• F•••• I••••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Jul 20, 2005, registered Jul 18, 2005 (-2 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
- Independent wealth managerderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address