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.
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N•••••• M•••••• P•••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Jul 23, 2026 · San Ramon, Ca
- O•••• W•••••• I••• BD affiliatedJan 19, 2024 to Jul 27, 2026 · Berkeley, Ca
- W••••••• F•••••••• S•••••••• I••• formerJun 14, 2019 to Jan 19, 2024 · San Francisco, Ca
- S••••••• F•••••••• S•••••••• I••• formerApr 23, 2015 to Jun 18, 2019 · San Mateo, Ca
- M•• F•••••••• S•••••••• I••• formerJan 2, 2015 to Feb 20, 2015 · San Ramon, Ca
- N•• E•••••• S••••••••• C••••••••• formerAug 11, 2011 to Jan 2, 2015 · San Ramon, Ca
- O•••• W•••••• I••• to C••••• I••••••••• A••••••• L••left Jul 27, 2026, registered Jul 23, 2026 (-4 days) · Affiliated broker-dealer or bank to another · moved with a team
- W••••••• F•••••••• S•••••••• I••• to O•••• W•••••• I•••left Jan 19, 2024, registered Jan 19, 2024 (0 days) · corporate re-registration, not a move
- S••••••• F•••••••• S•••••••• I••• to W••••••• F•••••••• S•••••••• I•••left Jun 18, 2019, registered Jun 14, 2019 (-4 days) · Affiliated broker-dealer or bank to another · moved with a team
- M•• F•••••••• S•••••••• I••• to S••••••• F•••••••• S•••••••• I•••left Feb 20, 2015, registered Apr 23, 2015 (62 days) · Other · moved with a team
- N•• E•••••• S••••••••• C••••••••• to M•• F•••••••• S•••••••• I•••left Jan 2, 2015, registered Jan 2, 2015 (0 days) · corporate re-registration, not a move
- N•••••• M•••••• P••• left O•••• W•••••• I••• for C••••• I••••••••• A••••••• L•• (registered 2026-07-23)Jul 27, 2026 · 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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address