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.
W•••••• F••••••• A••••••
- L•• F•••••••• L•• BD affiliated currentsince Feb 10, 2025 · Los Alamitos, Ca
- O•••• W•••••• I••• BD affiliatedNov 3, 2023 to Feb 12, 2025 · Los Alamitos, Ca
- F•• S••••••••• C••••••••• formerFeb 8, 2019 to Nov 3, 2023 · Los Alamitos, Ca
- O•••• W•••••• I••• to L•• F•••••••• L••left Feb 12, 2025, registered Feb 10, 2025 (-2 days) · Affiliated broker-dealer or bank to another · moved with a team
- F•• S••••••••• C••••••••• to O•••• W•••••• I•••left Nov 3, 2023, registered Nov 3, 2023 (0 days) · corporate re-registration, not a move
- W•••••• F••••••• A•••••• left O•••• W•••••• I••• for L•• F•••••••• L•• (registered 2025-02-10)Feb 12, 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
- 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