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.
D••••• D•••••• P•••••••
- L•• F•••••••• L•• BD affiliated currentsince May 21, 2025 · Alamo, Ca
- A•••••••• W••••• A••••••• formerNov 28, 2017 to May 30, 2025 · Alamo, Ca
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerJan 22, 2010 to Sep 17, 2015 · Walnut Creek, Ca
- A•••••••• W••••• A••••••• to L•• F•••••••• L••left May 30, 2025, registered May 21, 2025 (-9 days) · RIA to affiliated broker-dealer or bank · moved with a team
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to A•••••••• W••••• A•••••••left Sep 17, 2015, registered Nov 28, 2017 (803 days) · Other
- D••••• D•••••• P••••••• left A•••••••• W••••• A••••••• for L•• F•••••••• L•• (registered 2025-05-21)May 30, 2025 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address