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.
A•••• Q••••• R•••••
- L•• F•••••••• L•• BD affiliated currentsince Apr 30, 2026 · San Jose, Ca
- R•• C•••••• M••••••• L•• national BDJun 18, 2021 to May 7, 2026 · San Jose, Ca
- M••••• S•••••• wirehouseJul 2, 2018 to Jun 23, 2021 · Cupertino, Ca
- W•••••• • R••• formerJun 5, 2009 to Jul 2, 2018 · Seattle, Wa
- L•• F•••••••• I••• formerDec 15, 2008 to May 8, 2009 · San Jose, Ca
- R•• C•••••• M••••••• L•• to L•• F•••••••• L••left May 7, 2026, registered Apr 30, 2026 (-7 days) · Affiliated broker-dealer or bank to another
- M••••• S•••••• to R•• C•••••• M••••••• L••left Jun 23, 2021, registered Jun 18, 2021 (-5 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- W•••••• • R••• to M••••• S••••••left Jul 2, 2018, registered Jul 2, 2018 (0 days) · Affiliated broker-dealer or bank to wirehouse
- L•• F•••••••• I••• to W•••••• • R•••left May 8, 2009, registered Jun 5, 2009 (28 days) · Other
- A•••• Q••••• R••••• left R•• C•••••• M••••••• L•• for L•• F•••••••• L•• (registered 2026-04-30)May 7, 2026 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address