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••• M•••• D•••••••••
- R••••••••• C•••••• M••••••••• BD affiliated currentsince Jul 3, 2023 · San Francisco, Ca
- R••••••••• C•••••• M••••••••• BD affiliated currentsince Jun 16, 2023 · San Francisco, Ca
- J••• M••••• P•••••• W••••• A••••••• L•• formerFeb 14, 2014 to Jun 27, 2023 · San Francisco, Ca
- W•• I••••••••• I••• formerNov 20, 2012 to Jul 29, 2016 · San Francisco, Ca
- O•••• F•• I••• formerOct 3, 2011 to Oct 10, 2012 · Sacramento, Ca
- J••• M••••• P•••••• W••••• A••••••• L•• to R••••••••• C•••••• M•••••••••left Jun 27, 2023, registered Jun 16, 2023 (-11 days) · Affiliated broker-dealer or bank to another · moved with a team
- W•• I••••••••• I••• to J••• M••••• P•••••• W••••• A••••••• L••left Jul 29, 2016, registered Feb 14, 2014 (-896 days) · Other
- O•••• F•• I••• to W•• I••••••••• I•••left Oct 10, 2012, registered Nov 20, 2012 (41 days) · Other
- L••• M•••• D••••••••• left J••• M••••• P•••••• W••••• A••••••• L•• for R••••••••• C•••••• M••••••••• (registered 2023-06-16)Jun 27, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address