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.
B•••••• J••••• S••••
- F••••••• P•••••• W••••• L•• independent RIA currentsince Jun 12, 2023 · Los Altos, Ca
- W•••• F•••• A••••••• wirehouseJun 18, 2012 to Jun 29, 2023 · Palo Alto, Ca
- C•••• I••••••••• S••••••• C•••• formerMay 2, 2009 to Jun 19, 2012 · Sunnyvale, Ca
- W••• I••••••••• I••• unclassifiedJul 9, 2008 to May 2, 2009 · San Jose, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 7, 2006 to Jul 2, 2008 · Salt Lake City, Ut
- A••••••••• F•••••••• S•••••••• L•• national BDFeb 22, 2006 to Apr 5, 2006 · Midvale, Ut
- W•••• F•••• A••••••• to F••••••• P•••••• W••••• L••left Jun 29, 2023, registered Jun 12, 2023 (-17 days) · Wirehouse to a newly registered adviser (no RAUM reported yet) · moved with a team
- C•••• I••••••••• S••••••• C•••• to W•••• F•••• A•••••••left Jun 19, 2012, registered Jun 18, 2012 (-1 days) · Other
- W••• I••••••••• I••• to C•••• I••••••••• S••••••• C••••left May 2, 2009, registered May 2, 2009 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W••• I••••••••• I•••left Jul 2, 2008, registered Jul 9, 2008 (7 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Apr 5, 2006, registered Apr 7, 2006 (2 days) · Affiliated broker-dealer or bank to wirehouse
- B•••••• J••••• S•••• left W•••• F•••• A••••••• for F••••••• P•••••• W••••• L•• (registered 2023-06-12)Jun 29, 2023 · 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
- Independent wealth managerderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address