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.
J••••••• M•••••
- C••••••••• W•••••• L•• independent RIA currentsince Jul 28, 2025 · Seattle, Wa
- S•••••••• A••••••• L•• national BDJan 19, 2016 to Jun 20, 2017 · Campbell, Ca
- C•••••• S••••• • C••• I••• national BDOct 15, 2009 to Jan 4, 2016 · Campbell, Ca
- E••••• J•••• national BDJan 18, 2007 to Feb 3, 2009 · Los Gatos, Ca
- S•••••••• A••••••• L•• to C••••••••• W•••••• L••left Jun 20, 2017, registered Jul 28, 2025 (2960 days) · Affiliated broker-dealer or bank to independent RIA
- C•••••• S••••• • C••• I••• to S•••••••• A••••••• L••left Jan 4, 2016, registered Jan 19, 2016 (15 days) · Affiliated broker-dealer or bank to another · moved with a team
- E••••• J•••• to C•••••• S••••• • C••• I•••left Feb 3, 2009, registered Oct 15, 2009 (254 days) · Affiliated broker-dealer or bank to another
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