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.
- E• W••••• A••••••• independent RIA currentsince Sep 10, 2026 · Torrance, Ca
- M••••• S•••••• wirehouseJun 8, 2026 to Sep 7, 2026 · San Luis Obispo, Ca
- M••••• S•••••• wirehouseFeb 1, 2022 to Dec 3, 2024 · San Francisco, Ca
- R•• C•••••• M••••••• L•• national BDMay 20, 2021 to Jan 20, 2022 · San Francisco, Ca
- M••••• S•••••• to E• W••••• A•••••••left Sep 7, 2026, registered Sep 10, 2026 (3 days) · Wirehouse to independent RIA
- R•• C•••••• M••••••• L•• to M••••• S••••••left Jan 20, 2022, registered Feb 1, 2022 (12 days) · Affiliated broker-dealer or bank to wirehouse
- N•••••• W••••• left M••••• S•••••• for E• W••••• A••••••• (registered 2026-09-10)Sep 7, 2026 · Advisor changed firm · fact
- N•••••• W••••• left R•• C•••••• M••••••• L•• for M••••• S•••••• (registered 2022-02-01)Jan 20, 2022 · 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