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•••• A•••••••
- U••• B•••••• A•••••••• L•• BD affiliated currentsince Feb 13, 2026 · San Jose, Ca
- U••• B•••••• I••••••••• I••• formerJan 3, 2020 to Feb 13, 2026 · San Francisco, Ca
- J••• M••••• S••••••••• L•• wirehouseJun 2, 2016 to Nov 13, 2019 · San Francisco, Ca
- U••• B•••••• A•••••••• L•• BD affiliatedOct 16, 2015 to Jun 23, 2016 · San Jose, Ca
- U••• B•••••• I••••••••• I••• to U••• B•••••• A•••••••• L••left Feb 13, 2026, registered Feb 13, 2026 (0 days) · corporate re-registration, not a move
- J••• M••••• S••••••••• L•• to U••• B•••••• I••••••••• I•••left Nov 13, 2019, registered Jan 3, 2020 (51 days) · Wirehouse to affiliated broker-dealer or bank
- U••• B•••••• A•••••••• L•• to J••• M••••• S••••••••• L••left Jun 23, 2016, registered Jun 2, 2016 (-21 days) · Other · moved with a team
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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address