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.
A••••• C••
- P••••••• W••••• independent RIA currentsince Jan 1, 2025 · San Jose, Ca
- M•••••• A•••••• N•••••• BD affiliatedAug 18, 2023 to Apr 2, 2024 · San Jose, Ca
- L•• F•••••••• L•• BD affiliatedJan 13, 2021 to Oct 28, 2022 · San Mateo, Ca
- M•••••• A•••••• N•••••• to P••••••• W•••••left Apr 2, 2024, registered Jan 1, 2025 (274 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- L•• F•••••••• L•• to M•••••• A•••••• N••••••left Oct 28, 2022, registered Aug 18, 2023 (294 days) · RIA to affiliated broker-dealer or bank
- A••••• C•• left M•••••• A•••••• N•••••• for P••••••• W••••• (registered 2025-01-01)Apr 2, 2024 · a•••••• firm change · fact
- A••••• C•• left L•• F•••••••• L•• for M•••••• A•••••• N•••••• (registered 2023-08-18)Oct 28, 2022 · a•••••• firm change · 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
- Independent wealth managerderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address