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•••• C••••
- S•••••••• A••••••• L•• national BD currentsince May 8, 2025 · Petaluma, Ca
- L•• F•••••••• L•• BD affiliatedSep 19, 2024 to Dec 20, 2024 · Petaluma, Ca
- C••• F•••••••• S•••••••• L••• formerNov 16, 2020 to Sep 18, 2024 · Santa Rosa, Ca
- L•• F•••••••• L•• to S•••••••• A••••••• L••left Dec 20, 2024, registered May 8, 2025 (139 days) · Affiliated broker-dealer or bank to another
- C••• F•••••••• S•••••••• L••• to L•• F•••••••• L••left Sep 18, 2024, registered Sep 19, 2024 (1 days) · Affiliated broker-dealer or bank to another
- D•••• C•••• left L•• F•••••••• L•• for S•••••••• A••••••• L•• (registered 2025-05-08)Dec 20, 2024 · Advisor changed firm · fact
- D•••• C•••• left C••• F•••••••• S•••••••• L••• for L•• F•••••••• L•• (registered 2024-09-19)Sep 18, 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
- 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