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.
L••• A••• F••••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Sep 5, 2025 · Los Gatos, Ca
- A•••••• A••••••• S••••••• formerMar 3, 2022 to Sep 5, 2025 · Campbell, Ca
- M••••• M••• • A••••••••• unclassifiedJul 8, 2011 to Dec 1, 2013 · San Jose, Ca
- L•• F•••••••• L•• BD affiliatedDec 3, 2010 to Mar 30, 2022 · San Jose, Ca
- L••••• W••••• A•••••••• L•• independent RIAApr 3, 2007 to Apr 29, 2010 · San Jose, Ca
- G••••• I••••••••• M••••••••• L•• formerOct 7, 2005 to Jun 11, 2012 · Mountain View, Ca
- B•••• formerJun 30, 2005 to Sep 20, 2005 · Menlo Park, Ca
- A•••••• A••••••• S••••••• to C••••• I••••••••• A••••••• L••left Sep 5, 2025, registered Sep 5, 2025 (0 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to M••••• M••• • A•••••••••left Mar 30, 2022, registered Jul 8, 2011 (-3918 days) · Other
- M••••• M••• • A••••••••• to A•••••• A••••••• S•••••••left Dec 1, 2013, registered Mar 3, 2022 (3014 days) · Other
- G••••• I••••••••• M••••••••• L•• to L••••• W••••• A•••••••• L••left Jun 11, 2012, registered Apr 3, 2007 (-1896 days) · Other
- L••••• W••••• A•••••••• L•• to L•• F•••••••• L••left Apr 29, 2010, registered Dec 3, 2010 (218 days) · Other
- B•••• to G••••• I••••••••• M••••••••• L••left Sep 20, 2005, registered Oct 7, 2005 (17 days) · Other
- L••• A••• F•••••• left L•• F•••••••• L•• for M••••• M••• • A••••••••• (registered 2011-07-08)Mar 30, 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
- 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