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.
S•••••••• A••• S••••
- E•••••• A••••••• G••••• L•• BD affiliated currentsince Sep 29, 2025 · Greenwood Village, Co
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 29, 2007 to Feb 10, 2017 · Costa Mesa, Ca
- C••••••• I••••••••• S••••••• unclassifiedAug 24, 2005 to May 29, 2007 · Costa Mesa, Ca
- L•• F•••••••• L•• BD affiliatedSep 8, 2003 to Aug 2, 2005 · San Diego, Ca
- C•••••••• G••••• M•••••• I••• to E•••••• A••••••• G••••• L••left Feb 10, 2017, registered Sep 29, 2025 (3153 days) · Other
- C••••••• I••••••••• S••••••• to C•••••••• G••••• M•••••• I•••left May 29, 2007, registered May 29, 2007 (0 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to C••••••• I••••••••• S•••••••left Aug 2, 2005, registered Aug 24, 2005 (22 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
- 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