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.
C•••••••• A••••• A•••••••
- T••••••• A•••• M••••••••• L•• independent RIA currentsince Oct 28, 2024 · San Francisco, Ca
- O•••• F•• I••• formerJun 24, 2015 to Oct 29, 2024 · San Francisco, Ca
- B••••••••• C•••••• M••••••••• L•• state registeredFeb 7, 2012 to May 29, 2015 · Fair Oaks, Ca
- W•••• F•••• A••••••• wirehouseJun 12, 2009 to Feb 6, 2012 · Walnut Creek, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 28, 2008 to Jun 16, 2009 · Walnut Creek, Ca
- W•••• F•••• I••••••••• L•• unclassifiedAug 28, 2007 to Jun 19, 2008 · Orinda, Ca
- O•••• F•• I••• to T••••••• A•••• M••••••••• L••left Oct 29, 2024, registered Oct 28, 2024 (-1 days) · Affiliated broker-dealer or bank to independent RIA
- B••••••••• C•••••• M••••••••• L•• to O•••• F•• I•••left May 29, 2015, registered Jun 24, 2015 (26 days) · Other
- W•••• F•••• A••••••• to B••••••••• C•••••• M••••••••• L••left Feb 6, 2012, registered Feb 7, 2012 (1 days) · Wirehouse to a state-registered adviser
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Jun 16, 2009, registered Jun 12, 2009 (-4 days) · Wirehouse to wirehouse
- W•••• F•••• I••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 19, 2008, registered Aug 28, 2008 (70 days) · Other
- C•••••••• A••••• A••••••• left O•••• F•• I••• for T••••••• A•••• M••••••••• L•• (registered 2024-10-28)Oct 29, 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
- Independent wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address