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.
F•••• R••••• S••••••
- T•••••• A•••••••• L•• independent RIA currentsince Oct 30, 2025 · Carlsbad, Ca
- C••••••• A••••••• N••••••• L•• independent RIAMay 10, 2013 to Dec 31, 2022 · Carlsbad, Ca
- B• R•••• W••••• A•••••••• I••• BD affiliatedJul 27, 2007 to May 9, 2013 · Carlsbad, Ca
- W•••••• S••••••••• I••• BD affiliatedJun 27, 2007 to Jul 17, 2007 · Pasadena, Ca
- B••••••••• S••••••••• C••••••••• unclassifiedOct 24, 2005 to Jun 29, 2007 · Irvine, Ca
- O•••• F•• I••• formerJul 3, 2000 to Oct 24, 2005 · La Jolla, Ca
- C••••••• A••••••• N••••••• L•• to T•••••• A•••••••• L••left Dec 31, 2022, registered Oct 30, 2025 (1034 days) · RIA to RIA
- B• R•••• W••••• A•••••••• I••• to C••••••• A••••••• N••••••• L••left May 9, 2013, registered May 10, 2013 (1 days) · Other
- W•••••• S••••••••• I••• to B• R•••• W••••• A•••••••• I•••left Jul 17, 2007, registered Jul 27, 2007 (10 days) · Other
- B••••••••• S••••••••• C••••••••• to W•••••• S••••••••• I•••left Jun 29, 2007, registered Jun 27, 2007 (-2 days) · Other
- O•••• F•• I••• to B••••••••• S••••••••• C•••••••••left Oct 24, 2005, registered Oct 24, 2005 (0 days) · Other
- F•••• R••••• S•••••• left C••••••• A••••••• N••••••• L•• for T•••••• A•••••••• L•• (registered 2025-10-30)Dec 31, 2022 · 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
- Independent wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address