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.
G••••• B•••••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Los Altos, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• formerApr 15, 2019 to Mar 31, 2025 · Palo Alto, Ca
- T• A••••••••• I••••••••• M••••••••• L•• formerJun 2, 2017 to Apr 1, 2019 · Campbell, Ca
- T• A••••••••• I••• formerJun 2, 2017 to Apr 1, 2019 · Campbell, Ca
- H•••••• T••••••• • K•••• L•• independent RIADec 20, 2016 to Apr 28, 2017 · Redwood Shores, Ca
- C••• F•••••••• S•••••••• L••• formerAug 31, 2016 to Sep 1, 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••• to T• A••••••••• I••••••••• M••••••••• L••left Apr 1, 2019, registered Jun 2, 2017 (-668 days) · channel change inside one enterprise, not a move · moved with a team
- T• A••••••••• I••••••••• M••••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Apr 1, 2019, registered Apr 15, 2019 (14 days) · RIA to affiliated broker-dealer or bank
- H•••••• T••••••• • K•••• L•• to T• A••••••••• I•••left Apr 28, 2017, registered Jun 2, 2017 (35 days) · Other
- C••• F•••••••• S•••••••• L••• to H•••••• T••••••• • K•••• L••left Sep 1, 2016, registered Dec 20, 2016 (110 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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address