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.
M•••••• A• G••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Rocklin, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Mar 31, 2025 · Boston, Ma
- S•••••••• A••••••• L•• national BDApr 18, 2018 to Jul 13, 2018 · Sacramento, Ca
- P•• M•••••• A•••••• S••••••••• I••• formerNov 27, 2017 to Mar 26, 2018 · Sacramento, Ca
- B••••••• I••••••••• S•••••••• I••• ••••• formerFeb 22, 2017 to Sep 27, 2017 · Roseville, Ca
- S•••••••• A••••••• L•• national BDDec 4, 2014 to Feb 10, 2017 · Roseville, 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
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- P•• M•••••• A•••••• S••••••••• I••• to S•••••••• A••••••• L••left Mar 26, 2018, registered Apr 18, 2018 (23 days) · Other
- B••••••• I••••••••• S•••••••• I••• ••••• to P•• M•••••• A•••••• S••••••••• I•••left Sep 27, 2017, registered Nov 27, 2017 (61 days) · Other
- S•••••••• A••••••• L•• to B••••••• I••••••••• S•••••••• I••• •••••left Feb 10, 2017, registered Feb 22, 2017 (12 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
- National broker-dealer RIAderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address