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.
T••••• A••• H••••••
- A•••• O•• W••••• M••••••••• L•• independent RIA currentsince Apr 22, 2026 · Lake Forest, Ca
- R•• W••••• M••••••••• L•• independent RIANov 1, 2019 to Mar 30, 2026 · Newport Beach, Ca
- P•• A••••••• S•••••••• L•• independent RIANov 3, 2017 to Jan 3, 2018 · Albany, Ny
- M••••• S•••••• wirehouseAug 31, 2010 to Nov 6, 2017 · Newport Beach, Ca
- L•• F•••••••• L•• BD affiliatedDec 31, 1997 to Sep 7, 2010 · Irvine, Ca
- R•• W••••• M••••••••• L•• to A•••• O•• W••••• M••••••••• L••left Mar 30, 2026, registered Apr 22, 2026 (23 days) · RIA to RIA
- P•• A••••••• S•••••••• L•• to R•• W••••• M••••••••• L••left Jan 3, 2018, registered Nov 1, 2019 (667 days) · Other · moved with a team
- M••••• S•••••• to P•• A••••••• S•••••••• L••left Nov 6, 2017, registered Nov 3, 2017 (-3 days) · Other · moved with a team
- L•• F•••••••• L•• to M••••• S••••••left Sep 7, 2010, registered Aug 31, 2010 (-7 days) · Other
- T••••• A••• H•••••• left R•• W••••• M••••••••• L•• for A•••• O•• W••••• M••••••••• L•• (registered 2026-04-22)Mar 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
- Independent wealth managerderived
- Years in industry
- 45derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address