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.
A•••• P•••••••
- O•••• A••••••• S•••••••• L•• BD affiliated currentsince Jan 1, 2026 · Mountain View, Ca
- A•••• P•••• A••••••• formerNov 6, 2020 to Nov 8, 2024 · Mountain View, Ca
- K•• F•••••••• S•••••••• I•• formerMar 16, 2017 to Nov 6, 2020 · Mountain View, Ca
- S••••• M••••••••• independent RIANov 14, 2016 to Mar 17, 2017 · San Jose, Ca
- P•••••• C••••• A••••••• formerOct 10, 2011 to Mar 24, 2012 · San Jose, Ca
- C•••••• C•••••• M••••••••• formerOct 10, 2011 to Mar 24, 2012 · San Jose, Ca
- C•••••• W••••• M••••••••• formerSep 11, 2008 to Jun 20, 2017 · San Jose, Ca
- A•••• P•••• A••••••• to O•••• A••••••• S•••••••• L••left Nov 8, 2024, registered Jan 1, 2026 (419 days) · corporate re-registration, not a move
- K•• F•••••••• S•••••••• I•• to A•••• P•••• A•••••••left Nov 6, 2020, registered Nov 6, 2020 (0 days) · channel change inside one enterprise, not a move · moved with a team
- C•••••• W••••• M••••••••• to C•••••• C•••••• M•••••••••left Jun 20, 2017, registered Oct 10, 2011 (-2080 days) · Other
- S••••• M••••••••• to K•• F•••••••• S•••••••• I••left Mar 17, 2017, registered Mar 16, 2017 (-1 days) · Other
- C•••••• C•••••• M••••••••• to P•••••• C••••• A•••••••left Mar 24, 2012, registered Oct 10, 2011 (-166 days) · channel change inside one enterprise, not a move
- P•••••• C••••• A••••••• to S••••• M•••••••••left Mar 24, 2012, registered Nov 14, 2016 (1696 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address