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•••••• K•••• M•••
- O• I••••••••• M••••••••• C• BD affiliated currentsince Mar 5, 2026 · Oakland, Ca
- P••••••• A•••••••• L•• independent RIAJun 16, 2023 to Dec 1, 2025 · San Francisco, Ca
- E••••• J•••• national BDDec 24, 2018 to Jun 19, 2023 · Oakland, Ca
- P••••••• A•••••••• L•• to O• I••••••••• M••••••••• C•left Dec 1, 2025, registered Mar 5, 2026 (94 days) · RIA to affiliated broker-dealer or bank
- E••••• J•••• to P••••••• A•••••••• L••left Jun 19, 2023, registered Jun 16, 2023 (-3 days) · Affiliated broker-dealer or bank to independent RIA
- D•••••• K•••• M••• left P••••••• A•••••••• L•• for O• I••••••••• M••••••••• C• (registered 2026-03-05)Dec 1, 2025 · Advisor changed firm · fact
- D•••••• K•••• M••• left E••••• J•••• for P••••••• A•••••••• L•• (registered 2023-06-16)Jun 19, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address