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••••• R•••••
- O•••• W•••••• I••• BD affiliated currentsince Jan 24, 2025 · San Ramon, Ca
- O•••• F•• I••• formerNov 22, 2016 to Jan 24, 2025 · San Francisco, Ca
- M•• F•••••••• S•••••••• I••• formerJan 2, 2015 to Dec 2, 2016 · Foster City, Ca
- N•• E•••••• S••••••••• C••••••••• formerAug 3, 2011 to Jan 2, 2015 · Foster City, Ca
- W•••••• • R••• formerMar 6, 2009 to Jan 27, 2011 · San Mateo, Ca
- E•••••••• A•••••••• L•• national BDJun 13, 2008 to Jan 30, 2009 · Wellesley, Ma
- O•••• F•• I••• to O•••• W•••••• I•••left Jan 24, 2025, registered Jan 24, 2025 (0 days) · corporate re-registration, not a move
- M•• F•••••••• S•••••••• I••• to O•••• F•• I•••left Dec 2, 2016, registered Nov 22, 2016 (-10 days) · Other · moved with a team
- N•• E•••••• S••••••••• C••••••••• to M•• F•••••••• S•••••••• I•••left Jan 2, 2015, registered Jan 2, 2015 (0 days) · corporate re-registration, not a move
- W•••••• • R••• to N•• E•••••• S••••••••• C•••••••••left Jan 27, 2011, registered Aug 3, 2011 (188 days) · Other
- E•••••••• A•••••••• L•• to W•••••• • R•••left Jan 30, 2009, registered Mar 6, 2009 (35 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address