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••••••• M•••••••
- D••••• R••••••••• P••••••• I••• independent RIA currentsince Sep 18, 2025 · Lehi, Ut
- W•••• F•••• A••••••• wirehouseSep 19, 2019 to Nov 15, 2024 · San Francisco, Ca
- A•••• W••••• M••••••••• A•• P••••••• L•• independent RIAJan 9, 2015 to Aug 7, 2019 · Novato, Ca
- U••• B•••••• A•••••••• L•• BD affiliatedSep 13, 2013 to Nov 17, 2014 · St. Paul, Mn
- U••• B•••••• I••••••••• I••• formerJun 29, 2012 to Aug 1, 2013 · Mill Valley, Ca
- C••••• I••••••••• A••••••• L•• BD affiliatedJul 21, 2009 to Apr 11, 2012 · Larkspur, Ca
- U•• F•••••••• S••••••• I••• wirehouseFeb 13, 2008 to May 13, 2009 · San Francisco, Ca
- W•••• F•••• A••••••• to D••••• R••••••••• P••••••• I•••left Nov 15, 2024, registered Sep 18, 2025 (307 days) · Wirehouse to independent RIA
- A•••• W••••• M••••••••• A•• P••••••• L•• to W•••• F•••• A•••••••left Aug 7, 2019, registered Sep 19, 2019 (43 days) · RIA to wirehouse
- U••• B•••••• A•••••••• L•• to A•••• W••••• M••••••••• A•• P••••••• L••left Nov 17, 2014, registered Jan 9, 2015 (53 days) · Other
- U••• B•••••• I••••••••• I••• to U••• B•••••• A•••••••• L••left Aug 1, 2013, registered Sep 13, 2013 (43 days) · Other
- C••••• I••••••••• A••••••• L•• to U••• B•••••• I••••••••• I•••left Apr 11, 2012, registered Jun 29, 2012 (79 days) · Other
- U•• F•••••••• S••••••• I••• to C••••• I••••••••• A••••••• L••left May 13, 2009, registered Jul 21, 2009 (69 days) · Other
- M••••••• M••••••• left W•••• F•••• A••••••• for D••••• R••••••••• P••••••• I••• (registered 2025-09-18)Nov 15, 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address