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••• B•••••• H•••••
- L•• F•••••••• L•• BD affiliated currentsince Jul 13, 2026 · Carlsbad, Ca
- U••• B•••••• A•••••••• L•• BD affiliatedFeb 13, 2026 to Jul 14, 2026 · San Marcos, Ca
- U••• B•••••• I••••••••• I••• formerOct 30, 2023 to Feb 13, 2026 · Oceanside, Ca
- E••••• J•••• national BDJul 30, 2019 to Nov 1, 2023 · Carlsbad, Ca
- P••• F•••••••• A•••••••• L•• independent RIAJun 6, 2018 to Jul 30, 2019 · San Diego, Ca
- A•••• C•••• I••••••••• L•• formerFeb 10, 2017 to May 25, 2018 · San Marcos, Ca
- M••••• S•••••• wirehouseJun 1, 2009 to Feb 21, 2017 · San Diego, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedAug 17, 2007 to Jun 1, 2009 · San Diego, Ca
- R•••••• J• L•••• C••••••••• I••• unclassifiedFeb 22, 2006 to Aug 22, 2007 · San Diego, Ca
- K•• S•••• • A••••••••• I•• formerSep 13, 2005 to Oct 11, 2005 · San Diego, Ca
- U••• B•••••• A•••••••• L•• to L•• F•••••••• L••left Jul 14, 2026, registered Jul 13, 2026 (-1 days) · Affiliated broker-dealer or bank to another
- U••• B•••••• I••••••••• I••• to U••• B•••••• A•••••••• L••left Feb 13, 2026, registered Feb 13, 2026 (0 days) · corporate re-registration, not a move
- E••••• J•••• to U••• B•••••• I••••••••• I•••left Nov 1, 2023, registered Oct 30, 2023 (-2 days) · Affiliated broker-dealer or bank to another
- P••• F•••••••• A•••••••• L•• to E••••• J••••left Jul 30, 2019, registered Jul 30, 2019 (0 days) · RIA to affiliated broker-dealer or bank
- A•••• C•••• I••••••••• L•• to P••• F•••••••• A•••••••• L••left May 25, 2018, registered Jun 6, 2018 (12 days) · RIA to RIA
- M••••• S•••••• to A•••• C•••• I••••••••• L••left Feb 21, 2017, registered Feb 10, 2017 (-11 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- R•••••• J• L•••• C••••••••• I••• to C•••••••• G••••• M•••••• I•••left Aug 22, 2007, registered Aug 17, 2007 (-5 days) · Other
- K•• S•••• • A••••••••• I•• to R•••••• J• L•••• C••••••••• I•••left Oct 11, 2005, registered Feb 22, 2006 (134 days) · Other
- R••• B•••••• H••••• left U••• B•••••• A•••••••• L•• for L•• F•••••••• L•• (registered 2026-07-13)Jul 14, 2026 · Advisor changed firm · fact
- R••• B•••••• H••••• left E••••• J•••• for U••• B•••••• I••••••••• I••• (registered 2023-10-30)Nov 1, 2023 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address