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•••••••• L•• independent RIA currentsince Jul 10, 2026 · Foster City, Ca
- H•••••••• A•••••••• L•• BD affiliatedSep 18, 2024 to Mar 19, 2026 · Chicago, Il
- R•• C•••••• M••••••• L•• national BDFeb 9, 2024 to Sep 25, 2024 · San Francisco, Ca
- H•••••••• A•••••••• L•• to S•••••••• L••left Mar 19, 2026, registered Jul 10, 2026 (113 days) · Affiliated broker-dealer or bank to independent RIA
- R•• C•••••• M••••••• L•• to H•••••••• A•••••••• L••left Sep 25, 2024, registered Sep 18, 2024 (-7 days) · Affiliated broker-dealer or bank to another
- J•• P••• T•••••••• left H•••••••• A•••••••• L•• for S•••••••• L•• (registered 2026-07-10)Mar 19, 2026 · Advisor changed firm · fact
- J•• P••• T•••••••• left R•• C•••••• M••••••• L•• for H•••••••• A•••••••• L•• (registered 2024-09-18)Sep 25, 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
- Independent wealth managerderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address