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.
J••• C•••••••• N••••••
- S•••••••• A•••••••• L•• BD affiliated currentsince Jun 5, 2025 · Walnut Creek, Ca
- P••••••• W••••• P••••••• state registeredMar 1, 2023 to Jun 30, 2025 · San Jose, Ca
- L•• F•••••••• L•• BD affiliatedJan 18, 2023 to Jun 11, 2025 · San Jose, Ca
- P••••••• W••••• P••••••• to S•••••••• A•••••••• L••left Jun 30, 2025, registered Jun 5, 2025 (-25 days) · Other
- L•• F•••••••• L•• to P••••••• W••••• P•••••••left Jun 11, 2025, registered Mar 1, 2023 (-833 days) · Affiliated broker-dealer or bank to a state-registered adviser
- J••• C•••••••• N•••••• left P••••••• W••••• P••••••• for S•••••••• A•••••••• L•• (registered 2025-06-05)Jun 30, 2025 · Advisor changed firm · fact
- J••• C•••••••• N•••••• left L•• F•••••••• L•• for P••••••• W••••• P••••••• (registered 2023-03-01)Jun 11, 2025 · 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
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address