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.
A•• P•••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Berkeley, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• formerFeb 22, 2022 to Mar 31, 2025 · Berkeley, Ca
- T• A••••••••• I••••••••• M••••••••• L•• formerJan 2, 2019 to Jan 8, 2022 · Walnut Creek, Ca
- T• A••••••••• I••• formerJan 2, 2019 to Jan 8, 2022 · Walnut Creek, Ca
- E•••••• C•••••• M••••••••• L•• formerAug 5, 2016 to Dec 21, 2018 · Cupertino, Ca
- C••••• I••••••••• A••••••• L•• BD affiliatedJul 31, 2014 to Jul 12, 2016 · San Jose, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Jan 8, 2022, registered Jan 2, 2019 (-1102 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Jan 8, 2022, registered Jan 2, 2019 (-1102 days) · Other
- E•••••• C•••••• M••••••••• L•• to T• A••••••••• I•••left Dec 21, 2018, registered Jan 2, 2019 (12 days) · Other
- C••••• I••••••••• A••••••• L•• to E•••••• C•••••• M••••••••• L••left Jul 12, 2016, registered Aug 5, 2016 (24 days) · Other
- A•• P••••• left T• A••••••••• I••• for T• A••••••••• I••••••••• M••••••••• L•• (registered 2019-01-02)Jan 8, 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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address