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.
- I••••••• F•• independent RIA currentsince Jan 1, 2025 · Moraga, Ca
- M•• C•••••• A••••••• L•• independent RIAFeb 10, 2022 to Dec 14, 2022 · Moraga, Ca
- W•••• F•••• A••••••• wirehouseMar 30, 2010 to Feb 25, 2022 · Moraga, Ca
- M••••• S•••••• wirehouseJun 1, 2009 to Mar 31, 2010 · San Francisco, Ca
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · San Francisco, Ca
- M••••• S•••••• D• I••• unclassifiedJul 8, 1997 to Apr 2, 2007 · San Francisc, Ca
- M•• C•••••• A••••••• L•• to I••••••• F••left Dec 14, 2022, registered Jan 1, 2025 (749 days) · RIA to RIA
- W•••• F•••• A••••••• to M•• C•••••• A••••••• L••left Feb 25, 2022, registered Feb 10, 2022 (-15 days) · Wirehouse to independent RIA
- M••••• S•••••• to W•••• F•••• A•••••••left Mar 31, 2010, registered Mar 30, 2010 (-1 days) · Wirehouse to wirehouse
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- S•••• P•••••••• B••••• left M•• C•••••• A••••••• L•• for I••••••• F•• (registered 2025-01-01)Dec 14, 2022 · Advisor changed firm · fact
- S•••• P•••••••• B••••• left W•••• F•••• A••••••• for M•• C•••••• A••••••• L•• (registered 2022-02-10)Feb 25, 2022 · 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
- Independent wealth managerderived
- Years in industry
- 44derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address