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.
D••••• A••••• B••••
- O•••• W•••••• I••• BD affiliated currentsince Jan 24, 2025 · Morgan Hill, Ca
- O•••• F•• I••• formerJul 29, 2020 to Jan 24, 2025 · Campbell, Ca
- L•• F•••••••• L•• BD affiliatedOct 30, 2019 to Mar 27, 2020 · San Jose, Ca
- A•••••• A••••••• S••••••• formerAug 12, 2019 to Oct 30, 2019 · San Jose, Ca
- K••• W••••• P•••••••• I••• unclassifiedMar 5, 2019 to Sep 3, 2019 · Campbell, Ca
- L•• F•••••••• L•• BD affiliatedFeb 12, 2018 to Aug 5, 2019 · Campbell, Ca
- O•••• F•• I••• to O•••• W•••••• I•••left Jan 24, 2025, registered Jan 24, 2025 (0 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to O•••• F•• I•••left Mar 27, 2020, registered Jul 29, 2020 (124 days) · Affiliated broker-dealer or bank to another
- A•••••• A••••••• S••••••• to L•• F•••••••• L••left Oct 30, 2019, registered Oct 30, 2019 (0 days) · Affiliated broker-dealer or bank to another
- K••• W••••• P•••••••• I••• to A•••••• A••••••• S•••••••left Sep 3, 2019, registered Aug 12, 2019 (-22 days) · Other
- L•• F•••••••• L•• to K••• W••••• P•••••••• I•••left Aug 5, 2019, registered Mar 5, 2019 (-153 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
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address