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.
J••••• L•• D••••• D•••••••••
- 5• W•••••• L•• independent RIA currentsince Jan 5, 2026 · Napa, Ca
- U••• B•••••• A•••••••• L•• BD affiliatedApr 20, 2016 to Jun 24, 2020 · Orange, Ca
- P•• A••••••• independent RIAApr 15, 2015 to Mar 11, 2016 · Santa Clara, Ca
- L•• F•••••••• L•• BD affiliatedFeb 18, 2015 to Mar 21, 2016 · Santa Clara, Ca
- P•• M•••••• A•••••• S••••••••• I••• formerAug 8, 2012 to Feb 23, 2015 · Stockton, Ca
- U••• B•••••• A•••••••• L•• BD affiliatedJun 25, 2012 to Jul 18, 2012 · San Francisco, Ca
- U••• B•••••• A•••••••• L•• to 5• W•••••• L••left Jun 24, 2020, registered Jan 5, 2026 (2021 days) · Affiliated broker-dealer or bank to independent RIA
- L•• F•••••••• L•• to P•• A•••••••left Mar 21, 2016, registered Apr 15, 2015 (-341 days) · Other
- P•• A••••••• to U••• B•••••• A•••••••• L••left Mar 11, 2016, registered Apr 20, 2016 (40 days) · Other
- P•• M•••••• A•••••• S••••••••• I••• to L•• F•••••••• L••left Feb 23, 2015, registered Feb 18, 2015 (-5 days) · Other
- U••• B•••••• A•••••••• L•• to P•• M•••••• A•••••• S••••••••• I•••left Jul 18, 2012, registered Aug 8, 2012 (21 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
- Independent wealth managerderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address