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.
- M••••• S•••••• wirehouse currentsince Apr 6, 2026 · Napa, Ca
- U•• F•••••••• S••••••• I••• wirehouseMay 8, 2025 to Mar 31, 2026 · Walnut Creek, Ca
- C•••••• S••••• • C••• I••• national BDFeb 27, 2023 to Oct 4, 2024 · Fort Worth, Tx
- U•• F•••••••• S••••••• I••• to M••••• S••••••left Mar 31, 2026, registered Apr 6, 2026 (6 days) · Wirehouse to wirehouse
- C•••••• S••••• • C••• I••• to U•• F•••••••• S••••••• I•••left Oct 4, 2024, registered May 8, 2025 (216 days) · Affiliated broker-dealer or bank to wirehouse
- C•••• P••••• left U•• F•••••••• S••••••• I••• for M••••• S•••••• (registered 2026-04-06)Mar 31, 2026 · Advisor changed firm · fact
- C•••• P••••• left C•••••• S••••• • C••• I••• for U•• F•••••••• S••••••• I••• (registered 2025-05-08)Oct 4, 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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address