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.
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H•••• B•••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Jul 24, 2026 · San Ramon, Ca
- O•••• W•••••• I••• BD affiliatedJan 19, 2024 to Jul 30, 2026 · San Ramon, Ca
- W••••••• F•••••••• S•••••••• I••• formerJun 11, 2019 to Jan 19, 2024 · San Francisco, Ca
- M•• F•••••••• S•••••••• I••• formerJan 2, 2015 to Sep 1, 2015 · San Ramon, Ca
- N•• E•••••• S••••••••• C••••••••• formerSep 9, 2003 to Jan 2, 2015 · San Ramon, Ca
- W• G••••••• S••••••••• I••• unclassifiedJul 27, 2001 to Sep 3, 2003 · Walnut Creek, Ca
- O•••• W•••••• I••• to C••••• I••••••••• A••••••• L••left Jul 30, 2026, registered Jul 24, 2026 (-6 days) · Affiliated broker-dealer or bank to another · moved with a team
- W••••••• F•••••••• S•••••••• I••• to O•••• W•••••• I•••left Jan 19, 2024, registered Jan 19, 2024 (0 days) · corporate re-registration, not a move
- M•• F•••••••• S•••••••• I••• to W••••••• F•••••••• S•••••••• I•••left Sep 1, 2015, registered Jun 11, 2019 (1379 days) · Other
- N•• E•••••• S••••••••• C••••••••• to M•• F•••••••• S•••••••• I•••left Jan 2, 2015, registered Jan 2, 2015 (0 days) · corporate re-registration, not a move
- W• G••••••• S••••••••• I••• to N•• E•••••• S••••••••• C•••••••••left Sep 3, 2003, registered Sep 9, 2003 (6 days) · Other
- H•••• B••• left O•••• W•••••• I••• for C••••• I••••••••• A••••••• L•• (registered 2026-07-24)Jul 30, 2026 · 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
- 43derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address