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•••••••• V••••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Walnut Creek, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 14, 2022 to Mar 31, 2025 · Walnut Creek, Ca
- C•••••• S••••• • C••• I••• national BDNov 14, 2018 to Apr 19, 2022 · Walnut Creek, Ca
- U••• B•••••• A•••••••• L•• BD affiliatedJan 29, 2015 to Oct 24, 2018 · Berkeley, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedAug 22, 2013 to Jul 18, 2014 · Greenbrae, Ca
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Jul 10, 2013 · San Francisco, Ca
- W•••• F•••• I••••••••• L•• unclassifiedJul 20, 2005 to Jan 3, 2011 · San Francisco, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- C•••••• S••••• • C••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••left Apr 19, 2022, registered Jul 14, 2022 (86 days) · Affiliated broker-dealer or bank to another
- U••• B•••••• A•••••••• L•• to C•••••• S••••• • C••• I•••left Oct 24, 2018, registered Nov 14, 2018 (21 days) · Affiliated broker-dealer or bank to another
- C•••••••• G••••• M•••••• I••• to U••• B•••••• A•••••••• L••left Jul 18, 2014, registered Jan 29, 2015 (195 days) · Other
- W•••• F•••• A••••••• to C•••••••• G••••• M•••••• I•••left Jul 10, 2013, registered Aug 22, 2013 (43 days) · Other
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- C•••••••• V•••••• left C•••••• S••••• • C••• I••• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2022-07-14)Apr 19, 2022 · Advisor changed firm · 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address