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.
D••• S•••• L•••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Jul 23, 2026 · San Ramon, Ca
- O•••• W•••••• I••• BD affiliatedJan 19, 2024 to Jul 27, 2026 · San Ramon, Ca
- W••••••• F•••••••• S•••••••• I••• formerJul 18, 2019 to Jan 19, 2024 · San Ramon, Ca
- S••••••• F•••••••• S•••••••• I••• formerFeb 11, 2015 to Jul 17, 2019 · San Mateo, Ca
- N•• E•••••• S••••••••• C••••••••• formerFeb 19, 2004 to Dec 31, 2014 · Foster City, Ca
- W• G••••••• S••••••••• I••• unclassifiedJan 2, 1998 to Nov 19, 2002 · San Francisco, Ca
- O•••• W•••••• I••• to C••••• I••••••••• A••••••• L••left Jul 27, 2026, registered Jul 23, 2026 (-4 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
- S••••••• F•••••••• S•••••••• I••• to W••••••• F•••••••• S•••••••• I•••left Jul 17, 2019, registered Jul 18, 2019 (1 days) · Affiliated broker-dealer or bank to another
- N•• E•••••• S••••••••• C••••••••• to S••••••• F•••••••• S•••••••• I•••left Dec 31, 2014, registered Feb 11, 2015 (42 days) · Other
- W• G••••••• S••••••••• I••• to N•• E•••••• S••••••••• C•••••••••left Nov 19, 2002, registered Feb 19, 2004 (457 days) · Other
- D••• S•••• L••••• left O•••• W•••••• I••• for C••••• I••••••••• A••••••• L•• (registered 2026-07-23)Jul 27, 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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address