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.
- M••••• S•••••• wirehouse currentsince Dec 12, 2025 · San Jose, Ca
- R••••••••• C•••••• M••••••••• BD affiliatedApr 10, 2024 to Dec 12, 2025 · Los Gatos, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 23, 2009 to Apr 9, 2024 · San Jose, Ca
- R••••••••• C•••••• M••••••••• to M••••• S••••••left Dec 12, 2025, registered Dec 12, 2025 (0 days) · Affiliated broker-dealer or bank to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R••••••••• C•••••• M•••••••••left Apr 9, 2024, registered Apr 10, 2024 (1 days) · Wirehouse to affiliated broker-dealer or bank
- A••••• D• L•• left R••••••••• C•••••• M••••••••• for M••••• S•••••• (registered 2025-12-12)Dec 12, 2025 · Advisor changed firm · fact
- A••••• D• L•• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for R••••••••• C•••••• M••••••••• (registered 2024-04-10)Apr 9, 2024 · 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