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••••• S•••••• wirehouse currentsince Jun 10, 2026 · San Jose, Ca
- E••••• J•••• national BDMar 6, 2023 to Jun 11, 2026 · Los Altos, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• formerMar 3, 2022 to Mar 3, 2023 · Sunnyvale, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 1, 2020 to Dec 1, 2020 · San Mateo, Ca
- W•••• F•••• A••••••• wirehouseApr 7, 2016 to Sep 23, 2019 · Los Altos, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 21, 2014 to Apr 8, 2016 · Palo Alto, Ca
- E••••• J•••• to M••••• S••••••left Jun 11, 2026, registered Jun 10, 2026 (-1 days) · Affiliated broker-dealer or bank to wirehouse
- F••••••• P••••••• A•• W•••••••• A••••••• to E••••• J••••left Mar 3, 2023, registered Mar 6, 2023 (3 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Dec 1, 2020, registered Mar 3, 2022 (457 days) · Wirehouse to affiliated broker-dealer or bank
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 23, 2019, registered Apr 1, 2020 (191 days) · Wirehouse to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Apr 8, 2016, registered Apr 7, 2016 (-1 days) · Wirehouse to wirehouse
- A•••• C•••• left E••••• J•••• for M••••• S•••••• (registered 2026-06-10)Jun 11, 2026 · Advisor changed firm · fact
- A•••• C•••• left F••••••• P••••••• A•• W•••••••• A••••••• for E••••• J•••• (registered 2023-03-06)Mar 3, 2023 · 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
- Wirehousederived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address