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.
Q••• Z•••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · San Jose, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 26, 2021 to Mar 31, 2025 · Los Gatos, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 23, 2021 to May 24, 2021 · San Jose, Ca
- E••••• J•••• national BDNov 8, 2019 to Jan 28, 2021 · St Louis, Mo
- W•••• F•••• A••••••• wirehouseOct 10, 2013 to May 9, 2014 · Fremont, Ca
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Feb 24, 2012 · Fremont, Ca
- W•••• F•••• I••••••••• L•• unclassifiedSep 14, 2009 to Jan 3, 2011 · Fremont, 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
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left May 24, 2021, registered Jul 26, 2021 (63 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- E••••• J•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jan 28, 2021, registered Feb 23, 2021 (26 days) · Affiliated broker-dealer or bank to wirehouse
- W•••• F•••• A••••••• to E••••• J••••left May 9, 2014, registered Nov 8, 2019 (2009 days) · Wirehouse to affiliated broker-dealer or bank
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
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