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.
M••• T••••• Z••••••••
- F•••••••• A••••••••• L•• state registered currentsince Apr 18, 2025 · Newport Beach, Ca
- B••••• W••••• P•••••••• I••• independent RIAJul 17, 2019 to Jun 30, 2022 · Newport Beach, Ca
- S••••••••• W••••• M••••••••• L•• formerDec 19, 2018 to Dec 31, 2020 · Newport Beach, Ca
- W•••• F•••• A••••••• wirehouseSep 10, 2008 to Dec 20, 2016 · Newport Beach, Ca
- M••••• S•••••• • C•• L•• unclassifiedAug 27, 2007 to Sep 10, 2008 · Newport Beach, Ca
- U•• F•••••••• S••••••• I••• wirehouseAug 12, 2006 to Sep 10, 2007 · Los Angeles, Ca
- P•••• S•••••• • C•• institutionalJun 15, 2004 to Aug 12, 2006 · San Francisco, Ca
- W•••• F•••• A••••••• wirehouseJul 1, 2003 to Jun 29, 2004 · Newport Beach, Ca
- P••••••••• E••••• G••••• L•• unclassifiedJul 8, 1997 to Jul 1, 2003 · Newport Beach, Ca
- B••••• W••••• P•••••••• I••• to F•••••••• A••••••••• L••left Jun 30, 2022, registered Apr 18, 2025 (1023 days) · RIA to a state-registered adviser
- S••••••••• W••••• M••••••••• L•• to B••••• W••••• P•••••••• I•••left Dec 31, 2020, registered Jul 17, 2019 (-533 days) · RIA to RIA
- W•••• F•••• A••••••• to S••••••••• W••••• M••••••••• L••left Dec 20, 2016, registered Dec 19, 2018 (729 days) · Wirehouse to independent RIA
- M••••• S•••••• • C•• L•• to W•••• F•••• A•••••••left Sep 10, 2008, registered Sep 10, 2008 (0 days) · Other
- U•• F•••••••• S••••••• I••• to M••••• S•••••• • C•• L••left Sep 10, 2007, registered Aug 27, 2007 (-14 days) · Other
- P•••• S•••••• • C•• to U•• F•••••••• S••••••• I•••left Aug 12, 2006, registered Aug 12, 2006 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to P•••• S•••••• • C••left Jun 29, 2004, registered Jun 15, 2004 (-14 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••left Jul 1, 2003, registered Jul 1, 2003 (0 days) · corporate re-registration, not a move
- M••• T••••• Z•••••••• left B••••• W••••• P•••••••• I••• for F•••••••• A••••••••• L•• (registered 2025-04-18)Jun 30, 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
- STATE REGISTEREDderived
- Years in industry
- 43derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address