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.
S••••• G•••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Hayward, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Mar 31, 2025 · Boston, Ma
- S•••••••• A••••••• L•• national BDJan 6, 2016 to Jul 13, 2018 · Dublin, Ca
- T• A••••••••• I••• formerFeb 16, 2010 to Dec 11, 2015 · Menlo Park, Ca
- T• A••••••••• I••••••••• M••••••••• L•• formerFeb 16, 2010 to Dec 11, 2015 · E. Palo Alto, Ca
- F•••••••• F••••••••• I••• state registeredNov 25, 2008 to Mar 12, 2009 · Framingham, Ma
- C••••••••• F•••••••• N•••••• national BDSep 19, 2008 to Mar 13, 2009 · Southborough, Ma
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Dec 11, 2015, registered Feb 16, 2010 (-2124 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Dec 11, 2015, registered Feb 16, 2010 (-2124 days) · Other
- C••••••••• F•••••••• N•••••• to F•••••••• F••••••••• I•••left Mar 13, 2009, registered Nov 25, 2008 (-108 days) · Affiliated broker-dealer or bank to a state-registered adviser
- F•••••••• F••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Mar 12, 2009, registered Feb 16, 2010 (341 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
- National broker-dealer RIAderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address