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••• S• M•••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Henderson, Nv
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Mar 31, 2025 · Boston, Ma
- S•••••••• A••••••• L•• national BDAug 27, 2012 to Jul 13, 2018 · Henderson, Nv
- L•• F•••••••• L•• BD affiliatedSep 8, 2009 to Feb 4, 2011 · Redwood City, Ca
- A••••••••• S••••••••• C•••• unclassifiedAug 7, 2009 to Sep 8, 2009 · Menlo Park, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDOct 15, 2007 to Jun 3, 2008 · Henderson, Nv
- 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
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to S•••••••• A••••••• L••left Feb 4, 2011, registered Aug 27, 2012 (570 days) · Other
- A••••••••• S••••••••• C•••• to L•• F•••••••• L••left Sep 8, 2009, registered Sep 8, 2009 (0 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to A••••••••• S••••••••• C••••left Jun 3, 2008, registered Aug 7, 2009 (430 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address