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.
- L•• F•••••••• L•• BD affiliated currentsince Sep 3, 2025 · Merced, Ca
- U•• F•••••••• S••••••• I••• wirehouseJun 30, 2017 to Sep 12, 2025 · Palo Alto, Ca
- E•••••••• A•••••••• L•• national BDJun 1, 2016 to Jul 12, 2016 · Belton, Tx
- U•• F•••••••• S••••••• I••• to L•• F•••••••• L••left Sep 12, 2025, registered Sep 3, 2025 (-9 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- E•••••••• A•••••••• L•• to U•• F•••••••• S••••••• I•••left Jul 12, 2016, registered Jun 30, 2017 (353 days) · Affiliated broker-dealer or bank to wirehouse
- A••••• C••••• left U•• F•••••••• S••••••• I••• for L•• F•••••••• L•• (registered 2025-09-03)Sep 12, 2025 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address