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•••••••• P•••••••
- Title
- Director, Investmentsreportedaria401k.comfirm site, Sep 16, 2026
Only business contact points the firm published under its own name are shown; nothing is inferred, and personal accounts are never read. What the bio page says is printed as the firm printed it, with the sentence it came from; years are the firm’s claim, not a count of registrations.
- A••• W••••• M••••••••• independent RIA currentsince Jan 1, 2026 · Saratoga, Ca
- S••••• M••••••••• independent RIAOct 7, 2016 to Jan 9, 2017 · San Jose, Ca
- C•••••• W••••• M••••••••• formerFeb 19, 2016 to Sep 26, 2017 · San Jose, Ca
- C•••••• W••••• M••••••••• to S••••• M•••••••••left Sep 26, 2017, registered Oct 7, 2016 (-354 days) · Other · moved with a team
- S••••• M••••••••• to A••• W••••• M•••••••••left Jan 9, 2017, registered Jan 1, 2026 (3279 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
- Independent wealth managerderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address