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••••••
- L•• F•••••••• L•• BD affiliated currentsince Apr 30, 2012 · San Jose, Ca
- M•••••• A•••••• N•••••• BD affiliatedJul 18, 2017 to Aug 21, 2026 · Stanford, Ca
- P•• A••••••• independent RIAMay 13, 2015 to Oct 11, 2017 · Stanford, Ca
- C•••• I••••••••• S••••••• C•••• formerMay 2, 2009 to Apr 17, 2012 · Petaluma, Ca
- W••• I••••••••• I••• unclassifiedJun 12, 2007 to May 2, 2009 · Petaluma, Ca
- M•••••• A•••••• N•••••• to no registered destinationleft Aug 21, 2026 · Departure, no registered destination
- P•• A••••••• to M•••••• A•••••• N••••••left Oct 11, 2017, registered Jul 18, 2017 (-85 days) · Other · moved with a team
- C•••• I••••••••• S••••••• C•••• to L•• F•••••••• L••left Apr 17, 2012, registered Apr 30, 2012 (13 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
- J••••••• L•••••• no longer registered at M•••••• A•••••• N••••••; no later IA registration on IAPDAug 21, 2026 · a•••••• departure · 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address