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.
T•••• A••• R••••••• G••••
- W••••••••• A••••••• L•• BD affiliated currentsince Jan 1, 2026 · Palo Alto, Ca
- S•••••••• L•• formerDec 1, 2017 to Mar 22, 2018 · San Francisco, Ca
- B••••• F•••••• I••••••••• C••••••••• L••• formerJun 8, 2017 to Dec 1, 2017 · Walnut Creek, Ca
- S•••••••• L•• to W••••••••• A••••••• L••left Mar 22, 2018, registered Jan 1, 2026 (2842 days) · RIA to affiliated broker-dealer or bank
- B••••• F•••••• I••••••••• C••••••••• L••• to S•••••••• L••left Dec 1, 2017, registered Dec 1, 2017 (0 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address