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••• O••••••
- P••••••• G••••• I•••••••• L•• institutional currentsince May 11, 2026 · Orinda, Ca
- P••••••• W••••• M••••••••• independent RIA currentsince May 11, 2026 · Orinda, Ca
- M••••••• L••• L•• formerJun 11, 2021 to Sep 28, 2024 · Oakland, Ca
- E••••• J•••• national BDOct 8, 2018 to Jun 14, 2021 · Walnut Creek, Ca
- M••••••• L••• L•• to P••••••• G••••• I•••••••• L••left Sep 28, 2024, registered May 11, 2026 (590 days) · Other
- E••••• J•••• to M••••••• L••• L••left Jun 14, 2021, registered Jun 11, 2021 (-3 days) · Affiliated broker-dealer or bank to a newly registered adviser
- S••• O•••••• left M••••••• L••• L•• for P••••••• G••••• I•••••••• L•• (registered 2026-05-11)Sep 28, 2024 · 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
- Institutional managerderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address