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.
R••••• J••••• L••••••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Sep 5, 2025 · Woodland Hills, Ca
- A•••••• A••••••• S••••••• formerNov 28, 2023 to Sep 5, 2025 · Woodland Hills, Ca
- R• S•••••• F••••••••• L•• unclassifiedJun 22, 2011 to Dec 31, 2023 · Fresno, Ca
- P•••••••• A•••••••• I••• independent RIAJan 13, 2009 to Apr 25, 2011 · Fresno, Ca
- C•••••• S••••• • C••• I••• national BDSep 21, 2005 to Jan 16, 2009 · Fresno, Ca
- S•••••••• A••••••• L•• national BDAug 11, 2000 to May 19, 2005 · Los Angeles, Ca
- A•••••• A••••••• S••••••• to C••••• I••••••••• A••••••• L••left Sep 5, 2025, registered Sep 5, 2025 (0 days) · corporate re-registration, not a move
- R• S•••••• F••••••••• L•• to A•••••• A••••••• S•••••••left Dec 31, 2023, registered Nov 28, 2023 (-33 days) · Other
- P•••••••• A•••••••• I••• to R• S•••••• F••••••••• L••left Apr 25, 2011, registered Jun 22, 2011 (58 days) · Other
- C•••••• S••••• • C••• I••• to P•••••••• A•••••••• I•••left Jan 16, 2009, registered Jan 13, 2009 (-3 days) · Other
- S•••••••• A••••••• L•• to C•••••• S••••• • C••• I•••left May 19, 2005, registered Sep 21, 2005 (125 days) · Affiliated broker-dealer or bank to another
- R••••• J••••• L•••••••• left R• S•••••• F••••••••• L•• for A•••••• A••••••• S••••••• (registered 2023-11-28)Dec 31, 2023 · 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address