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.
P•••• I• I•••• M••••
- R••••••••• C•••••• M••••••••• BD affiliated currentsince Apr 28, 2025 · Dallas, Tx
- R••••••••• C•••••• M••••••••• BD affiliated currentsince Apr 28, 2025 · Dallas, Tx
- R•• C•••••• M••••••• L•• national BDDec 7, 2020 to May 2, 2025 · San Francisco, Ca
- R•••••• J•••• • A••••••••• I••• national BDMay 30, 2019 to Dec 15, 2020 · San Francisco, Ca
- U•• F•••••••• S••••••• I••• wirehouseJun 16, 2014 to Jun 10, 2019 · San Francisco, Ca
- M••••• S•••••• wirehouseOct 6, 2011 to Jul 5, 2014 · San Francisco, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 24, 2010 to Sep 19, 2011 · Cleveland, Oh
- R•• C•••••• M••••••• L•• to R••••••••• C•••••• M•••••••••left May 2, 2025, registered Apr 28, 2025 (-4 days) · Affiliated broker-dealer or bank to another
- R•••••• J•••• • A••••••••• I••• to R•• C•••••• M••••••• L••left Dec 15, 2020, registered Dec 7, 2020 (-8 days) · Affiliated broker-dealer or bank to another
- U•• F•••••••• S••••••• I••• to R•••••• J•••• • A••••••••• I•••left Jun 10, 2019, registered May 30, 2019 (-11 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• to U•• F•••••••• S••••••• I•••left Jul 5, 2014, registered Jun 16, 2014 (-19 days) · Wirehouse to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Sep 19, 2011, registered Oct 6, 2011 (17 days) · Wirehouse to wirehouse
- P•••• I• I•••• M•••• left R•• C•••••• M••••••• L•• for R••••••••• C•••••• M••••••••• (registered 2025-04-28)May 2, 2025 · 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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address