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.
R••• L••••••• C•••••••
- U••• B•••••• A•••••••• L•• BD affiliated currentsince Feb 13, 2026 · San Francisco, Ca
- U••• B•••••• I••••••••• I••• formerJun 26, 2023 to Feb 13, 2026 · San Francisco, Ca
- C••••• I••••••••• A••••••• L•• BD affiliatedAug 18, 2018 to Aug 31, 2021 · San Francisco, Ca
- R•• R•••••••• L•• BD affiliatedApr 22, 2014 to Jul 13, 2018 · San Francisco, Ca
- M••••• S•••••• wirehouseJun 1, 2009 to Apr 14, 2014 · San Francisco, Ca
- M••••• S•••••• • C•• L•• unclassifiedOct 26, 2007 to Jun 1, 2009 · San Francisco, Ca
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Aug 28, 2007 · San Francisco, Ca
- M••••• S•••••• D• I••• unclassifiedJan 4, 2007 to Apr 2, 2007 · San Francisco, Ca
- U••• B•••••• I••••••••• I••• to U••• B•••••• A•••••••• L••left Feb 13, 2026, registered Feb 13, 2026 (0 days) · corporate re-registration, not a move
- C••••• I••••••••• A••••••• L•• to U••• B•••••• I••••••••• I•••left Aug 31, 2021, registered Jun 26, 2023 (664 days) · Affiliated broker-dealer or bank to another
- R•• R•••••••• L•• to C••••• I••••••••• A••••••• L••left Jul 13, 2018, registered Aug 18, 2018 (36 days) · Affiliated broker-dealer or bank to another
- M••••• S•••••• to R•• R•••••••• L••left Apr 14, 2014, registered Apr 22, 2014 (8 days) · Other
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address