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.
H• H• Z•••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · San Jose, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• formerMay 17, 2021 to Mar 31, 2025 · Mountain View, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 28, 2011 to Mar 31, 2021 · Sunnyvale, Ca
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Aug 19, 2011 · Sunnyvale, Ca
- W•••• F•••• I••••••••• L•• unclassifiedFeb 18, 2009 to Jan 3, 2011 · Cupertino, Ca
- B•••••••• F••••••••• I••• independent RIASep 11, 2008 to Nov 12, 2008 · The Woodlands, Tx
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedMay 22, 2007 to Nov 16, 2007 · Cupertino, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Mar 31, 2021, registered May 17, 2021 (47 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 19, 2011, registered Sep 28, 2011 (40 days) · Wirehouse to wirehouse
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- B•••••••• F••••••••• I••• to W•••• F•••• I••••••••• L••left Nov 12, 2008, registered Feb 18, 2009 (98 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to B•••••••• F••••••••• I•••left Nov 16, 2007, registered Sep 11, 2008 (300 days) · Other
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
- National broker-dealer RIAderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address