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.
T••••• W••
- U•• F•••••••• S••••••• I••• wirehouse currentsince May 6, 2026 · Walnut Creek, Ca
- W•••• F•••• A••••••• wirehouseJun 3, 2022 to May 4, 2026 · Pleasanton, Ca
- J••• M••••• S••••••••• L•• wirehouseSep 3, 2019 to May 31, 2022 · El Cerrito, Ca
- C•••••• S••••• • C••• I••• national BDJul 26, 2016 to Aug 5, 2019 · San Francisco, Ca
- T• A••••••••• I••••••••• M••••••••• L•• formerDec 7, 2007 to May 29, 2015 · Corte Madera, Ca
- T• A••••••••• I••• formerDec 7, 2007 to May 29, 2015 · Corte Madera, Ca
- W•••• F•••• A••••••• to U•• F•••••••• S••••••• I•••left May 4, 2026, registered May 6, 2026 (2 days) · Wirehouse to wirehouse
- J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••left May 31, 2022, registered Jun 3, 2022 (3 days) · Wirehouse to wirehouse · moved with a team
- C•••••• S••••• • C••• I••• to J••• M••••• S••••••••• L••left Aug 5, 2019, registered Sep 3, 2019 (29 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left May 29, 2015, registered Dec 7, 2007 (-2730 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left May 29, 2015, registered Dec 7, 2007 (-2730 days) · Other
- T••••• W•• left W•••• F•••• A••••••• for U•• F•••••••• S••••••• I••• (registered 2026-05-06)May 4, 2026 · Advisor changed firm · fact
- T••••• W•• left J••• M••••• S••••••••• L•• for W•••• F•••• A••••••• (registered 2022-06-03)May 31, 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
- Wirehousederived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address