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.
E•••• V••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Sep 5, 2025 · San Jose, Ca
- A•••••• A••••••• S••••••• formerDec 1, 2022 to Sep 5, 2025 · Burlingame, Ca
- P•• A••••••• independent RIAOct 10, 2018 to Nov 30, 2022 · Santa Clara, Ca
- T• A••••••••• I••• formerMar 11, 2015 to Jun 25, 2018 · San Mateo, Ca
- T• A••••••••• I••••••••• M••••••••• L•• formerMar 11, 2015 to Jun 25, 2018 · San Mateo, Ca
- U••• B•••••• A•••••••• L•• BD affiliatedNov 24, 2014 to Mar 6, 2015 · Menlo Park, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Oct 24, 2014 · Menlo Park, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedApr 23, 2009 to Oct 23, 2009 · Palo Alto, Ca
- A•••••• A••••••• S••••••• to C••••• I••••••••• A••••••• L••left Sep 5, 2025, registered Sep 5, 2025 (0 days) · corporate re-registration, not a move
- P•• A••••••• to A•••••• A••••••• S•••••••left Nov 30, 2022, registered Dec 1, 2022 (1 days) · RIA to affiliated broker-dealer or bank · moved with a team
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Jun 25, 2018, registered Mar 11, 2015 (-1202 days) · corporate re-registration, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Jun 25, 2018, registered Mar 11, 2015 (-1202 days) · channel change inside one enterprise, not a move
- U••• B•••••• A•••••••• L•• to T• A••••••••• I••••••••• M••••••••• L••left Mar 6, 2015, registered Mar 11, 2015 (5 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U••• B•••••• A•••••••• L••left Oct 24, 2014, registered Nov 24, 2014 (31 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
- E•••• V•••• left P•• A••••••• for A•••••• A••••••• S••••••• (registered 2022-12-01)Nov 30, 2022 · 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
- 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