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.
D•••• S•••• P•••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Mar 2, 2026 · Valencia, Ca
- O•••• W•••••• I••• BD affiliatedNov 3, 2023 to Mar 5, 2026 · Valencia, Ca
- F•• S••••••••• C••••••••• formerFeb 12, 2016 to Nov 3, 2023 · Valencia, Ca
- U••• B•••••• A•••••••• L•• BD affiliatedNov 10, 2009 to Feb 23, 2016 · Encino, Ca
- W••••• F•••••••• S•••••••• L•• formerJun 17, 2003 to Nov 9, 2009 · Sherman Oaks, Ca
- C••• F•••••••• S•••••••• L••• formerApr 23, 2002 to Sep 1, 2004 · Sherman Oaks, Ca
- L•• F•••••••• L•• BD affiliatedFeb 14, 2001 to Apr 30, 2002 · Los Angeles, Ca
- O•••• W•••••• I••• to C••••• I••••••••• A••••••• L••left Mar 5, 2026, registered Mar 2, 2026 (-3 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
- U••• B•••••• A•••••••• L•• to F•• S••••••••• C•••••••••left Feb 23, 2016, registered Feb 12, 2016 (-11 days) · Other
- W••••• F•••••••• S•••••••• L•• to U••• B•••••• A•••••••• L••left Nov 9, 2009, registered Nov 10, 2009 (1 days) · Other
- C••• F•••••••• S•••••••• L••• to W••••• F•••••••• S•••••••• L••left Sep 1, 2004, registered Jun 17, 2003 (-442 days) · Other
- L•• F•••••••• L•• to C••• F•••••••• S•••••••• L•••left Apr 30, 2002, registered Apr 23, 2002 (-7 days) · Other
- D•••• S•••• P••• left O•••• W•••••• I••• for C••••• I••••••••• A••••••• L•• (registered 2026-03-02)Mar 5, 2026 · 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
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address