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.
N••••••• L••••
- M••••••••• R••••••••• BD affiliated currentsince Jun 12, 2025 · Corte Madera, Ca
- L•• F•••••••• L•• BD affiliatedAug 1, 2024 to Jun 12, 2025 · San Rafael, Ca
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedJun 24, 2021 to Feb 26, 2024 · San Jose, Ca
- L•• F•••••••• L•• to M••••••••• R•••••••••left Jun 12, 2025, registered Jun 12, 2025 (0 days) · Affiliated broker-dealer or bank to another
- T••••••••• F•••••••• A•••••••• L•• to L•• F•••••••• L••left Feb 26, 2024, registered Aug 1, 2024 (157 days) · Affiliated broker-dealer or bank to another · moved with a team
- N••••••• L•••• left L•• F•••••••• L•• for M••••••••• R••••••••• (registered 2025-06-12)Jun 12, 2025 · Advisor changed firm · fact
- N••••••• L•••• left T••••••••• F•••••••• A•••••••• L•• for L•• F•••••••• L•• (registered 2024-08-01)Feb 26, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address