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.
D•••• M•••••
- V••• R••••••••• A•••••••• L•• other currentsince Feb 14, 2025 · Windsor, Ct
- O••••••••• S••••••••• I••• BD affiliatedSep 28, 2017 to Feb 8, 2025 · Concord, Ca
- T••••••••• R••••••••• A•••••••• L•• BD affiliatedJan 28, 2015 to Sep 5, 2017 · Tracy, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 16, 2011 to Jan 7, 2014 · Livermore, Ca
- W••• I••••••••• I••• unclassifiedJun 13, 2007 to Jun 23, 2008 · Castro Valley, Ca
- W•••• F•••• I••••••••• L•• unclassifiedFeb 23, 2006 to Nov 28, 2006 · Tracy, Ca
- O••••••••• S••••••••• I••• to V••• R••••••••• A•••••••• L••left Feb 8, 2025, registered Feb 14, 2025 (6 days) · Other · moved with a team
- T••••••••• R••••••••• A•••••••• L•• to O••••••••• S••••••••• I•••left Sep 5, 2017, registered Sep 28, 2017 (23 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to T••••••••• R••••••••• A•••••••• L••left Jan 7, 2014, registered Jan 28, 2015 (386 days) · Other
- W••• I••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 23, 2008, registered Nov 16, 2011 (1241 days) · Other
- W•••• F•••• I••••••••• L•• to W••• I••••••••• I•••left Nov 28, 2006, registered Jun 13, 2007 (197 days) · Other
- D•••• M••••• left O••••••••• S••••••••• I••• for V••• R••••••••• A•••••••• L•• (registered 2025-02-14)Feb 8, 2025 · 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
- Other adviserderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address