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.
X•••••••• Z••
- F••• S•••• C••••••• L•• state registered currentsince Sep 11, 2025 · Fremont, Ca
- N• A••••••• state registeredDec 11, 2018 to Feb 10, 2021 · Milpitas, Ca
- C•••••••• F••••••••• I••• BD affiliatedJul 27, 2016 to Dec 18, 2018 · San Jose, Ca
- C••••• I••••••••• A••••••• L•• BD affiliatedOct 27, 2015 to Jul 20, 2016 · San Jose, Ca
- J• P• T••••• • C•••••• C•••••• M••••••••• L•• formerApr 8, 2014 to Nov 13, 2015 · San Jose, Ca
- P•••••••• S••••••••• I••• BD affiliatedJul 2, 2013 to Apr 17, 2014 · San Jose, Ca
- F••• S•••• C••••••• L•• state registeredAug 3, 2005 to Jan 31, 2013 · Fremont, Ca
- N• A••••••• to F••• S•••• C••••••• L••left Feb 10, 2021, registered Sep 11, 2025 (1674 days) · Other
- C•••••••• F••••••••• I••• to N• A•••••••left Dec 18, 2018, registered Dec 11, 2018 (-7 days) · Affiliated broker-dealer or bank to a state-registered adviser
- C••••• I••••••••• A••••••• L•• to C•••••••• F••••••••• I•••left Jul 20, 2016, registered Jul 27, 2016 (7 days) · Other · moved with a team
- J• P• T••••• • C•••••• C•••••• M••••••••• L•• to C••••• I••••••••• A••••••• L••left Nov 13, 2015, registered Oct 27, 2015 (-17 days) · corporate re-registration, not a move
- P•••••••• S••••••••• I••• to J• P• T••••• • C•••••• C•••••• M••••••••• L••left Apr 17, 2014, registered Apr 8, 2014 (-9 days) · Other
- F••• S•••• C••••••• L•• to P•••••••• S••••••••• I•••left Jan 31, 2013, registered Jul 2, 2013 (152 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
- STATE REGISTEREDderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address