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•••• L•
- M••••• S•••••• wirehouse currentsince Jan 7, 2026 · Cupertino, Ca
- W•••• F•••• A••••••• wirehouseApr 19, 2024 to Jan 13, 2026 · Burlingame, Ca
- C•••••• S••••• • C••• I••• national BDDec 13, 2021 to Jan 25, 2024 · San Mateo, Ca
- W•••• F•••• A••••••• to M••••• S••••••left Jan 13, 2026, registered Jan 7, 2026 (-6 days) · Wirehouse to wirehouse · moved with a team
- C•••••• S••••• • C••• I••• to W•••• F•••• A•••••••left Jan 25, 2024, registered Apr 19, 2024 (85 days) · Affiliated broker-dealer or bank to wirehouse
- R•••• L• left W•••• F•••• A••••••• for M••••• S•••••• (registered 2026-01-07)Jan 13, 2026 · Advisor changed firm · fact
- R•••• L• left C•••••• S••••• • C••• I••• for W•••• F•••• A••••••• (registered 2024-04-19)Jan 25, 2024 · 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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address