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•••••• R•••••••• G••••••••
- W•••• F•••• A••••••• wirehouse currentsince May 20, 2025 · Mill Valley, Ca
- L•• F•••••••• L•• BD affiliatedSep 19, 2024 to Dec 18, 2024 · San Diego, Ca
- C••• F•••••••• S•••••••• L••• formerJun 9, 2023 to Sep 18, 2024 · Napa, Ca
- L•• F•••••••• L•• to W•••• F•••• A•••••••left Dec 18, 2024, registered May 20, 2025 (153 days) · Affiliated broker-dealer or bank to wirehouse
- 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 · moved with a team
- N•••••• R•••••••• G•••••••• left L•• F•••••••• L•• for W•••• F•••• A••••••• (registered 2025-05-20)Dec 18, 2024 · Advisor changed firm · fact
- N•••••• R•••••••• G•••••••• 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
- Wirehousederived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address