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.
- S•• I••••••••• M••••••••• former currentsince Apr 16, 2025 · Placentia, Ca
- L•••••• W••••• M••••••••• L•• independent RIAMay 17, 2018 to Jun 17, 2019 · Laguna Niguel, Ca
- L•••••• W••••• M••••••••• L•• formerOct 22, 2008 to Oct 10, 2018 · Oakland, Ca
- L•••••• G••••• L•• unclassifiedOct 4, 2005 to May 30, 2008 · Laguna Woods, Ca
- A• G• E•••••• • S•••• I••• unclassifiedMar 30, 2001 to Apr 6, 2005 · San Juan Capistrano, Ca
- L•••••• W••••• M••••••••• L•• to S•• I••••••••• M•••••••••left Jun 17, 2019, registered Apr 16, 2025 (2130 days) · Other
- L•••••• W••••• M••••••••• L•• to L•••••• W••••• M••••••••• L••left Oct 10, 2018, registered May 17, 2018 (-146 days) · channel change inside one enterprise, not a move · moved with a team
- L•••••• G••••• L•• to L•••••• W••••• M••••••••• L••left May 30, 2008, registered Oct 22, 2008 (145 days) · Other
- A• G• E•••••• • S•••• I••• to L•••••• G••••• L••left Apr 6, 2005, registered Oct 4, 2005 (181 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
- Former SEC-registered adviserderived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address