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.
R•••• D••••• D•••••
- P••••••••• F••••••••• L•• independent RIA currentsince Jul 2, 2025 · Irvine, Ca
- C•••••••• F••••••••• I••• BD affiliatedJan 12, 2016 to Jun 30, 2025 · Santa Fe Springs, Ca
- K••••••• C•••••• C••••••••• formerJan 23, 2014 to Dec 31, 2015 · New York, Ny
- C••••• • A••••••••• I••• independent RIAJan 2, 2014 to Jan 21, 2014 · Irvine, Ca
- C•••••• G•••• • C• I•• formerNov 3, 2008 to Dec 31, 2013 · Syracuse, Ny
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedAug 1, 2002 to Oct 31, 2008 · Santa Fe Springs, Ca
- C•••••••• F••••••••• I••• to P••••••••• F••••••••• L••left Jun 30, 2025, registered Jul 2, 2025 (2 days) · Affiliated broker-dealer or bank to independent RIA
- K••••••• C•••••• C••••••••• to C•••••••• F••••••••• I•••left Dec 31, 2015, registered Jan 12, 2016 (12 days) · Other
- C••••• • A••••••••• I••• to K••••••• C•••••• C•••••••••left Jan 21, 2014, registered Jan 23, 2014 (2 days) · Other
- C•••••• G•••• • C• I•• to C••••• • A••••••••• I•••left Dec 31, 2013, registered Jan 2, 2014 (2 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to C•••••• G•••• • C• I••left Oct 31, 2008, registered Nov 3, 2008 (3 days) · Other
- R•••• D••••• D••••• left C•••••••• F••••••••• I••• for P••••••••• F••••••••• L•• (registered 2025-07-02)Jun 30, 2025 · 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
- 43derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address