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••••• L•••• D•••••••••
- L•••••• S•••••••• A••••••• st••• registered currentsince Nov 30, 2025 · San Diego, Ca
- •••• A•••• M••••••••• A•• ••• W••••• M••••••••• independent RIAAug 28, 2014 to Jun 28, 2019 · San Diego, Ca
- A••••••• P••••••• A•••••••• L•• formerMay 4, 2011 to Jul 23, 2014 · La Quinta, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDOct 5, 2009 to Oct 6, 2010 · San Diego, Ca
- A••••••••• A•••••• S•••••••• I••• unclassifiedJul 3, 2007 to Oct 5, 2009 · San Diego, Ca
- A• G• E•••••• • S•••• I••• unclassifiedAug 24, 2005 to Jul 11, 2007 · San Diego, Ca
- M••••• S•••••• D• I••• unclassifiedJul 8, 1997 to Aug 29, 2005 · San Diego, Ca
- •••• A•••• M••••••••• A•• ••• W••••• M••••••••• to L•••••• S•••••••• A•••••••left Jun 28, 2019, registered Nov 30, 2025 (2347 days) · RIA TO ST••• RIA
- A••••••• P••••••• A•••••••• L•• to •••• A•••• M••••••••• A•• ••• W••••• M•••••••••left Jul 23, 2014, registered Aug 28, 2014 (36 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to A••••••• P••••••• A•••••••• L••left Oct 6, 2010, registered May 4, 2011 (210 days) · Other
- A••••••••• A•••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Oct 5, 2009, registered Oct 5, 2009 (0 days) · corporate re-registration, not a move
- A• G• E•••••• • S•••• I••• to A••••••••• A•••••• S•••••••• I•••left Jul 11, 2007, registered Jul 3, 2007 (-8 days) · Other
- M••••• S•••••• D• I••• to A• G• E•••••• • S•••• I•••left Aug 29, 2005, registered Aug 24, 2005 (-5 days) · Other
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
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address