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.
- W•••• F•••• A••••••• wirehouse currentsince Apr 7, 2026 · San Jose, Ca
- L•• E••••••••• L•• BD affiliatedNov 14, 2024 to Apr 6, 2026 · San Jose, Ca
- P•••• S••••••••• L•• no RAUMDec 12, 2017 to Nov 14, 2024 · San Jose, Ca
- W•••••• • R••• formerMar 6, 2012 to Aug 9, 2017 · Seattle, Wa
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedMay 3, 2011 to Dec 23, 2011 · San Jose, Ca
- O••••••••• S••••••••• I••• BD affiliatedSep 15, 2009 to Mar 4, 2011 · Fresno, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDNov 14, 2005 to Aug 25, 2009 · Campbell, Ca
- L•• E••••••••• L•• to W•••• F•••• A•••••••left Apr 6, 2026, registered Apr 7, 2026 (1 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- P•••• S••••••••• L•• to L•• E••••••••• L••left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
- W•••••• • R••• to P•••• S••••••••• L••left Aug 9, 2017, registered Dec 12, 2017 (125 days) · Other
- C•••••••• I••••••••• R••••••• A•••••••• I••• to W•••••• • R•••left Dec 23, 2011, registered Mar 6, 2012 (74 days) · Other
- O••••••••• S••••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Mar 4, 2011, registered May 3, 2011 (60 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to O••••••••• S••••••••• I•••left Aug 25, 2009, registered Sep 15, 2009 (21 days) · Other
- R•• W••• left L•• E••••••••• L•• for W•••• F•••• A••••••• (registered 2026-04-07)Apr 6, 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
- Wirehousederived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address