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••• R• N•••••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Petaluma, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• formerOct 25, 2023 to Mar 31, 2025 · Burlingame, Ca
- M••••• S•••••• wirehouseSep 5, 2023 to Oct 17, 2023 · Menlo Park, Ca
- E•••••• C•••••• M••••••••• L•• formerAug 12, 2021 to Sep 5, 2023 · Arlington, Va
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 19, 2020 to Aug 9, 2021 · Palo Alto, Ca
- 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
- M••••• S•••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Oct 17, 2023, registered Oct 25, 2023 (8 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- E•••••• C•••••• M••••••••• L•• to M••••• S••••••left Sep 5, 2023, registered Sep 5, 2023 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E•••••• C•••••• M••••••••• L••left Aug 9, 2021, registered Aug 12, 2021 (3 days) · Wirehouse to independent RIA
- R••• R• N••••••• left M••••• S•••••• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2023-10-25)Oct 17, 2023 · 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
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address