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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D••••• B•••••• G•••••• L•••••
- U••• B•••••• A•••••••• L•• BD affiliated currentsince Mar 25, 2026 · Palm Springs, Ca
- J••• M••••• S••••••••• L•• wirehouseMar 8, 2021 to Mar 17, 2026 · La Quinta, Ca
- T• A••••••••• I••••••••• M••••••••• L•• formerAug 5, 2015 to Dec 31, 2020 · Indian Wells, Ca
- T• A••••••••• I••• formerAug 5, 2015 to Jan 11, 2021 · Indian Wells, Ca
- C••• F•••••••• S•••••••• L••• formerMar 4, 2014 to Jul 30, 2015 · Rancho Mirage, Ca
- M•• I•••••••• S•••••••• L•• BD affiliatedOct 22, 2010 to Mar 10, 2014 · Palm Desert, Ca
- E•••• S••••••••• L•• BD affiliatedMar 20, 2007 to Sep 9, 2010 · Palm Desert, Ca
- J••• M••••• S••••••••• L•• to U••• B•••••• A•••••••• L••left Mar 17, 2026, registered Mar 25, 2026 (8 days) · Wirehouse to affiliated broker-dealer or bank
- T• A••••••••• I••• to J••• M••••• S••••••••• L••left Jan 11, 2021, registered Mar 8, 2021 (56 days) · Other · moved with a team
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Dec 31, 2020, registered Aug 5, 2015 (-1975 days) · corporate re-registration, not a move
- C••• F•••••••• S•••••••• L••• to T• A••••••••• I••••••••• M••••••••• L••left Jul 30, 2015, registered Aug 5, 2015 (6 days) · Other
- M•• I•••••••• S•••••••• L•• to C••• F•••••••• S•••••••• L•••left Mar 10, 2014, registered Mar 4, 2014 (-6 days) · Other
- E•••• S••••••••• L•• to M•• I•••••••• S•••••••• L••left Sep 9, 2010, registered Oct 22, 2010 (43 days) · Other
- D••••• B•••••• G•••••• L••••• left J••• M••••• S••••••••• L•• for U••• B•••••• A•••••••• L•• (registered 2026-03-25)Mar 17, 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
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address