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.
A•••••••• N•••••••••
- W•••• F•••• A••••••• wirehouse currentsince Sep 4, 2026 · Walnut Creek, Ca
- J••• M••••• S••••••••• L•• wirehouseJul 19, 2023 to Jul 12, 2026 · Richmond, Ca
- T••••••• I••••••••• M••••••••• I••• BD affiliatedMar 28, 2023 to Jun 26, 2023 · Minneapolis, Mn
- J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••left Jul 12, 2026, registered Sep 4, 2026 (54 days) · Wirehouse to wirehouse
- T••••••• I••••••••• M••••••••• I••• to J••• M••••• S••••••••• L••left Jun 26, 2023, registered Jul 19, 2023 (23 days) · Affiliated broker-dealer or bank to wirehouse
- A•••••••• N••••••••• left J••• M••••• S••••••••• L•• for W•••• F•••• A••••••• (registered 2026-09-04)Jul 12, 2026 · Advisor changed firm · fact
- A•••••••• N••••••••• left T••••••• I••••••••• M••••••••• I••• for J••• M••••• S••••••••• L•• (registered 2023-07-19)Jun 26, 2023 · 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
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address