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.
R•••••• J•• C••••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · San Diego, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 28, 2020 to Mar 31, 2025 · Walnut Creek, Ca
- T• A••••••••• I••• formerFeb 8, 2019 to Jul 8, 2020 · Walnut Creek, Ca
- T• A••••••••• I••••••••• M••••••••• L•• formerFeb 8, 2019 to Jul 8, 2020 · Walnut Creek, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedSep 21, 2017 to Feb 22, 2019 · Pleasant Hill, Ca
- B••••••• I••••••••• S•••••••• I••• ••••• formerJun 30, 2016 to Oct 2, 2017 · Livermore, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDNov 12, 2014 to Jul 6, 2016 · Walnut Creek, Ca
- W•••••• • R••• formerJun 18, 2014 to Nov 19, 2014 · Napa, 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••• to T• A••••••••• I••••••••• M••••••••• L••left Jul 8, 2020, registered Feb 8, 2019 (-516 days) · Other · moved with a team
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Jul 8, 2020, registered Feb 8, 2019 (-516 days) · channel change inside one enterprise, not a move
- C•••••••• G••••• M•••••• I••• to T• A••••••••• I•••left Feb 22, 2019, registered Feb 8, 2019 (-14 days) · Other
- B••••••• I••••••••• S•••••••• I••• ••••• to C•••••••• G••••• M•••••• I•••left Oct 2, 2017, registered Sep 21, 2017 (-11 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to B••••••• I••••••••• S•••••••• I••• •••••left Jul 6, 2016, registered Jun 30, 2016 (-6 days) · Other
- W•••••• • R••• to A••••••••• F•••••••• S•••••••• L••left Nov 19, 2014, registered Nov 12, 2014 (-7 days) · Other
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