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••••• A• P••••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Emeryville, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• formerJan 19, 2024 to Mar 31, 2025 · Stanford, Ca
- V••• R••••••••• A•••••••• L•• otherApr 29, 2021 to Oct 30, 2023 · Windsor, Ct
- V••• F•••••••• A•••••••• I••• BD affiliatedJul 31, 2019 to Oct 30, 2023 · Carson City, Nv
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 8, 2011 to Feb 27, 2017 · Alta Loma, 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
- V••• F•••••••• A•••••••• I••• to V••• R••••••••• A•••••••• L••left Oct 30, 2023, registered Apr 29, 2021 (-914 days) · Other
- V••• R••••••••• A•••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Oct 30, 2023, registered Jan 19, 2024 (81 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to V••• F•••••••• A•••••••• I•••left Feb 27, 2017, registered Jul 31, 2019 (884 days) · Wirehouse to affiliated broker-dealer or bank
- J••••• A• P•••••• left V••• R••••••••• A•••••••• L•• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2024-01-19)Oct 30, 2023 · Advisor changed firm · fact
- J••••• A• P•••••• left V••• F•••••••• A•••••••• I••• for V••• R••••••••• A•••••••• L•• (registered 2021-04-29)Oct 30, 2023 · 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
- National broker-dealer RIAderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address