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•••••• A••••• D••••••••
- L•• F•••••••• L•• BD affiliated currentsince Nov 5, 2025 · Newport Beach, Ca
- O••••••••• • C•• I••• BD affiliatedJun 2, 2021 to Aug 13, 2021 · Newport Beach, Ca
- T• A••••••••• I••••••••• M••••••••• L•• formerApr 24, 2006 to Dec 31, 2020 · Laguna Hills, Ca
- T• A••••••••• I••• formerNov 17, 2003 to Jan 11, 2021 · Laguna Hills, Ca
- W•••• F•••• A••••••• wirehouseSep 14, 2000 to Nov 6, 2003 · Laguna Niguel, Ca
- O••••••••• • C•• I••• to L•• F•••••••• L••left Aug 13, 2021, registered Nov 5, 2025 (1545 days) · Affiliated broker-dealer or bank to another
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Jan 11, 2021, registered Apr 24, 2006 (-5376 days) · channel change inside one enterprise, not a move · moved with a team
- T• A••••••••• I••••••••• M••••••••• L•• to O••••••••• • C•• I•••left Dec 31, 2020, registered Jun 2, 2021 (153 days) · RIA to affiliated broker-dealer or bank
- W•••• F•••• A••••••• to T• A••••••••• I•••left Nov 6, 2003, registered Nov 17, 2003 (11 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address