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.
E••• C•••••• B•••
- H••••••••• I••••••••• R•••••••• I••• former currentsince Jan 14, 2025 · Dove Canyon, Ca
- I•••••••• A•••••••• L•• BD affiliatedNov 19, 2018 to Dec 16, 2022 · Dove Canyon, Ca
- P••• A••••• S••••••••• L•• BD affiliatedJan 2, 2015 to Dec 18, 2018 · Irvine, Ca
- J••• M••••• P•••••• W••••• A••••••• L•• formerFeb 22, 2012 to Mar 10, 2014 · Newport Beach, Ca
- B••••••• I••••••••• S•••••••• I••• ••••• formerAug 5, 2009 to Jan 5, 2012 · San Francisco, Ca
- M•••• L•• unclassifiedOct 24, 2006 to Nov 7, 2006 · Los Angeles, Ca
- M•••• L•• unclassifiedAug 22, 2003 to Dec 31, 2005 · Newport Beach, Ca
- I•••••••• A•••••••• L•• to H••••••••• I••••••••• R•••••••• I•••left Dec 16, 2022, registered Jan 14, 2025 (760 days) · Other
- P••• A••••• S••••••••• L•• to I•••••••• A•••••••• L••left Dec 18, 2018, registered Nov 19, 2018 (-29 days) · Affiliated broker-dealer or bank to independent RIA
- J••• M••••• P•••••• W••••• A••••••• L•• to P••• A••••• S••••••••• L••left Mar 10, 2014, registered Jan 2, 2015 (298 days) · Other
- B••••••• I••••••••• S•••••••• I••• ••••• to J••• M••••• P•••••• W••••• A••••••• L••left Jan 5, 2012, registered Feb 22, 2012 (48 days) · Other
- M•••• L•• to B••••••• I••••••••• S•••••••• I••• •••••left Nov 7, 2006, registered Aug 5, 2009 (1002 days) · Other
- E••• C•••••• B••• left I•••••••• A•••••••• L•• for H••••••••• I••••••••• R•••••••• I••• (registered 2025-01-14)Dec 16, 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
- Former SEC-registered adviserderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address