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.
S•••• A• R•••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · San Francisco, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• formerAug 28, 2023 to Mar 31, 2025 · San Francisco, Ca
- C•••••• A•••• M••••••••• L•• independent RIADec 6, 2022 to Jun 30, 2023 · San Francisco, Ca
- B••••••• J•••• L•• independent RIAOct 19, 2021 to Nov 21, 2022 · San Francisco, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 12, 2019 to Sep 15, 2021 · New York, Ny
- 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
- C•••••• A•••• M••••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jun 30, 2023, registered Aug 28, 2023 (59 days) · RIA to affiliated broker-dealer or bank
- B••••••• J•••• L•• to C•••••• A•••• M••••••••• L••left Nov 21, 2022, registered Dec 6, 2022 (15 days) · RIA to RIA
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to B••••••• J•••• L••left Sep 15, 2021, registered Oct 19, 2021 (34 days) · Wirehouse to independent RIA
- S•••• A• R••••• left C•••••• A•••• M••••••••• L•• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2023-08-28)Jun 30, 2023 · Advisor changed firm · fact
- S•••• A• R••••• left B••••••• J•••• L•• for C•••••• A•••• M••••••••• L•• (registered 2022-12-06)Nov 21, 2022 · 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
- National broker-dealer RIAderived
- Years in industry
- 9derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address