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••••••• T••••••••
- C••••• I••••••••• L•• state registered currentsince Jan 1, 2026 · San Francisco, Ca
- W••••••• formerAug 22, 2019 to Dec 31, 2022 · San Francisco, Ca
- W•••• F•••• A••••••• wirehouseFeb 13, 2015 to Feb 1, 2019 · San Francisco, Ca
- J••• M••••• S••••••••• L•• wirehouseOct 30, 2013 to Feb 25, 2015 · Daly City, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 4, 2011 to Sep 24, 2013 · San Jose, Ca
- W•••• F•••• I••••••••• L•• unclassifiedNov 23, 2009 to Oct 11, 2010 · San Mateo, Ca
- W••••••• to C••••• I••••••••• L••left Dec 31, 2022, registered Jan 1, 2026 (1097 days) · RIA to a state-registered adviser
- W•••• F•••• A••••••• to W•••••••left Feb 1, 2019, registered Aug 22, 2019 (202 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••left Feb 25, 2015, registered Feb 13, 2015 (-12 days) · Wirehouse to wirehouse · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• S••••••••• L••left Sep 24, 2013, registered Oct 30, 2013 (36 days) · Wirehouse to wirehouse
- W•••• F•••• I••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 11, 2010, registered Oct 4, 2011 (358 days) · Other
- S••••••• T•••••••• left Wealthup for C••••• I••••••••• L•• (registered 2026-01-01)Dec 31, 2022 · 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
- STATE REGISTEREDderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address