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.
C•••• D•••• D•••••••
- S••••• I••••••••• M••••••••• L•• independent RIA currentsince Jul 2, 2025 · Tucson, Az
- S••••••••• A••••••• formerJan 31, 2019 to Oct 12, 2019 · Encinitas, Ca
- S••••• I••••••••• M••••••••• L•• independent RIAAug 25, 2017 to Jan 24, 2019 · Encinitas, Ca
- V•• A•••••••• I••• formerDec 13, 2010 to Aug 2, 2012 · Los Angeles, Ca
- S•••••••• F••••••••• I••• formerSep 28, 2010 to Dec 16, 2010 · Carlsbad, Ca
- P•••••• F••••••••• I••• formerSep 5, 2002 to Oct 6, 2003 · Carlsbad, Ca
- N••• F•••••••• G••••• I••• formerJun 25, 2002 to Sep 22, 2010 · Carlsbad, Ca
- S••••••••• A••••••• to S••••• I••••••••• M••••••••• L••left Oct 12, 2019, registered Jul 2, 2025 (2090 days) · RIA to RIA · moved with a team
- S••••• I••••••••• M••••••••• L•• to S••••••••• A•••••••left Jan 24, 2019, registered Jan 31, 2019 (7 days) · RIA to a newly registered adviser · moved with a team
- V•• A•••••••• I••• to S••••• I••••••••• M••••••••• L••left Aug 2, 2012, registered Aug 25, 2017 (1849 days) · Other
- S•••••••• F••••••••• I••• to V•• A•••••••• I•••left Dec 16, 2010, registered Dec 13, 2010 (-3 days) · Other
- N••• F•••••••• G••••• I••• to P•••••• F••••••••• I•••left Sep 22, 2010, registered Sep 5, 2002 (-2939 days) · Other
- P•••••• F••••••••• I••• to S•••••••• F••••••••• I•••left Oct 6, 2003, registered Sep 28, 2010 (2549 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
- Independent wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address