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.
J••• L••
- E••••• J•••• national BD currentsince Aug 16, 2024 · Los Altos, Ca
- F•••• independent RIAJun 20, 2023 to Jun 14, 2024 · Fremont, Ca
- C••••• P••••••• L•• independent RIAApr 18, 2022 to Jan 4, 2023 · Los Altos, Ca
- M•••••• BD affiliatedFeb 2, 2021 to Mar 31, 2022 · Danville, Ca
- M•• I•••••••• S•••••••• L•• BD affiliatedApr 21, 2020 to Nov 5, 2020 · Fremont, Ca
- B••••••• I••••••••• S•••••••• I••• ••••• formerApr 4, 2018 to Jan 22, 2020 · Palo Alto, Ca
- T• A••••••••• I••••••••• M••••••••• L•• formerMar 28, 2017 to Mar 28, 2018 · E. Palo Alto, Ca
- T• A••••••••• I••• formerMar 28, 2017 to Mar 28, 2018 · Menlo Park, Ca
- E•••••• C•••••• M••••••••• L•• formerJun 28, 2016 to Mar 22, 2017 · Palo Alto, Ca
- S•••••••• A••••••• L•• national BDApr 5, 2012 to Jun 13, 2016 · Mountain View, Ca
- N•• E•••••• S••••••••• C••••••••• formerMay 12, 2011 to Mar 21, 2012 · Chicago, Il
- F•••• to E••••• J••••left Jun 14, 2024, registered Aug 16, 2024 (63 days) · RIA to affiliated broker-dealer or bank
- C••••• P••••••• L•• to F••••left Jan 4, 2023, registered Jun 20, 2023 (167 days) · RIA to RIA
- M•••••• to C••••• P••••••• L••left Mar 31, 2022, registered Apr 18, 2022 (18 days) · Affiliated broker-dealer or bank to independent RIA
- M•• I•••••••• S•••••••• L•• to M••••••left Nov 5, 2020, registered Feb 2, 2021 (89 days) · Affiliated broker-dealer or bank to another
- B••••••• I••••••••• S•••••••• I••• ••••• to M•• I•••••••• S•••••••• L••left Jan 22, 2020, registered Apr 21, 2020 (90 days) · Affiliated broker-dealer or bank to another
- T• A••••••••• I••••••••• M••••••••• L•• to B••••••• I••••••••• S•••••••• I••• •••••left Mar 28, 2018, registered Apr 4, 2018 (7 days) · RIA to affiliated broker-dealer or bank
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Mar 28, 2018, registered Mar 28, 2017 (-365 days) · channel change inside one enterprise, not a move
- E•••••• C•••••• M••••••••• L•• to T• A••••••••• I•••left Mar 22, 2017, registered Mar 28, 2017 (6 days) · Other
- S•••••••• A••••••• L•• to E•••••• C•••••• M••••••••• L••left Jun 13, 2016, registered Jun 28, 2016 (15 days) · Other
- N•• E•••••• S••••••••• C••••••••• to S•••••••• A••••••• L••left Mar 21, 2012, registered Apr 5, 2012 (15 days) · Other
- J••• L•• left Facet for E••••• J•••• (registered 2024-08-16)Jun 14, 2024 · Advisor changed firm · fact
- J••• L•• left C••••• P••••••• L•• for Facet (registered 2023-06-20)Jan 4, 2023 · Advisor changed firm · fact
- J••• L•• left Mariner for C••••• P••••••• L•• (registered 2022-04-18)Mar 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
- National broker-dealer RIAderived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address