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.
S••• F•••••••• J•••••
- L•• F•••••••• L•• BD affiliated currentsince Jul 30, 2025 · San Diego, Ca
- A••••••• F•••••••• A•••••••• L•• BD affiliatedMay 1, 2025 to Jul 1, 2025 · Stockton, Ca
- L•• F•••••••• L•• BD affiliatedMay 18, 2022 to Oct 30, 2023 · San Jose, Ca
- C••• B•••••••• S•••••••• I••• formerApr 7, 2017 to May 18, 2022 · San Jose, Ca
- J••• M••••• S••••••••• L•• wirehouseDec 9, 2014 to Nov 8, 2016 · San Jose, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 18, 2011 to Dec 2, 2014 · San Jose, Ca
- A••••••• F•••••••• A•••••••• L•• to L•• F•••••••• L••left Jul 1, 2025, registered Jul 30, 2025 (29 days) · Affiliated broker-dealer or bank to another
- L•• F•••••••• L•• to A••••••• F•••••••• A•••••••• L••left Oct 30, 2023, registered May 1, 2025 (549 days) · Affiliated broker-dealer or bank to another
- C••• B•••••••• S•••••••• I••• to L•• F•••••••• L••left May 18, 2022, registered May 18, 2022 (0 days) · corporate re-registration, not a move
- J••• M••••• S••••••••• L•• to C••• B•••••••• S•••••••• I•••left Nov 8, 2016, registered Apr 7, 2017 (150 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• S••••••••• L••left Dec 2, 2014, registered Dec 9, 2014 (7 days) · Wirehouse to wirehouse
- S••• F•••••••• J••••• left A••••••• F•••••••• A•••••••• L•• for L•• F•••••••• L•• (registered 2025-07-30)Jul 1, 2025 · Advisor changed firm · fact
- S••• F•••••••• J••••• left L•• F•••••••• L•• for A••••••• F•••••••• A•••••••• L•• (registered 2025-05-01)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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address