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.
- M•••••• BD affiliated currentsince Jun 9, 2026 · Sacramento, Ca
- M•••••• A•••••• N•••••• BD affiliatedDec 15, 2022 to May 22, 2026 · Sacramento, Ca
- L•• F•••••••• L•• BD affiliatedJun 9, 2020 to Dec 8, 2022 · Sacramento, Ca
- W•••• F•••• A••••••• wirehouseAug 19, 2014 to May 21, 2020 · San Leandro, Ca
- J••• M••••• S••••••••• L•• wirehouseMay 21, 2013 to Jul 24, 2014 · Portola Valley, Ca
- L•• F•••••••• L•• BD affiliatedAug 7, 2012 to Jun 5, 2013 · Los Gatos, Ca
- M•••••• A•••••• N•••••• to M••••••left May 22, 2026, registered Jun 9, 2026 (18 days) · Affiliated broker-dealer or bank to another · moved with a team
- L•• F•••••••• L•• to M•••••• A•••••• N••••••left Dec 8, 2022, registered Dec 15, 2022 (7 days) · RIA to RIA
- W•••• F•••• A••••••• to L•• F•••••••• L••left May 21, 2020, registered Jun 9, 2020 (19 days) · Wirehouse to affiliated broker-dealer or bank
- J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••left Jul 24, 2014, registered Aug 19, 2014 (26 days) · Wirehouse to wirehouse
- L•• F•••••••• L•• to J••• M••••• S••••••••• L••left Jun 5, 2013, registered May 21, 2013 (-15 days) · Other
- M•••• A•••••• A•••• left M•••••• A•••••• N•••••• for Mariner (registered 2026-06-09)May 22, 2026 · a•••••• firm change · fact
- M•••• A•••••• A•••• left L•• F•••••••• L•• for M•••••• A•••••• N•••••• (registered 2022-12-15)Dec 8, 2022 · a•••••• firm change · 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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address