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.
P••• Y•• L•
- H••• F•••••••• S••••••• A•• I••••••••• A•••••• state registered currentsince Sep 25, 2025 · Yorba Linda, Ca
- U•••••••• F•••••••• S••••••• A•• I••••••••• A•••••• former sec a••••••Apr 7, 2020 to Mar 26, 2021 · Walnut, Ca
- I••• former sec a••••••Sep 1, 2016 to Jan 5, 2018 · San Bernardino, Ca
- K•• W••• I••••••••• L•• unclassifiedNov 25, 2014 to Oct 14, 2015 · San Gabriel, Ca
- H••• F•••••••• S••••••• A•• I••••••••• A•••••• state registeredNov 26, 2012 to Aug 29, 2016 · Yorba Linda, Ca
- S•••••••• F••••••••• I••• former sec a••••••Oct 31, 2005 to Nov 30, 2012 · San Bernardino, Ca
- S••••••••• S••••••••• I••• unclassifiedJun 11, 2003 to Oct 31, 2005 · San Jose, Ca
- U•••••••• F•••••••• S••••••• A•• I••••••••• A•••••• to H••• F•••••••• S••••••• A•• I••••••••• A••••••left Mar 26, 2021, registered Sep 25, 2025 (1644 days) · Other
- I••• to U•••••••• F•••••••• S••••••• A•• I••••••••• A••••••left Jan 5, 2018, registered Apr 7, 2020 (823 days) · RIA to a newly registered adviser
- H••• F•••••••• S••••••• A•• I••••••••• A•••••• to K•• W••• I••••••••• L••left Aug 29, 2016, registered Nov 25, 2014 (-643 days) · Other
- K•• W••• I••••••••• L•• to I•••left Oct 14, 2015, registered Sep 1, 2016 (323 days) · Other
- S•••••••• F••••••••• I••• to H••• F•••••••• S••••••• A•• I••••••••• A••••••left Nov 30, 2012, registered Nov 26, 2012 (-4 days) · Other
- S••••••••• S••••••••• I••• to S•••••••• F••••••••• I•••left Oct 31, 2005, registered Oct 31, 2005 (0 days) · corporate re-registration, not a move
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
- STATE REGISTEREDderived
- Years in industry
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address