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.
A•••••• R••••• R•••••
- U••• B•••••• A•••••••• L•• BD affiliated currentsince Feb 13, 2026 · La Verne, Ca
- U••• B•••••• I••••••••• I••• formerMar 14, 2019 to Feb 13, 2026 · Saint Paul, Mn
- A••••••••• F•••••••• S•••••••• L•• national BDJun 30, 2017 to Feb 6, 2019 · San Dimas, Ca
- U••• B•••••• A•••••••• L•• BD affiliatedNov 9, 2000 to Jul 10, 2017 · Norwalk, Ca
- U••• B•••••• I••••••••• I••• to U••• B•••••• A•••••••• L••left Feb 13, 2026, registered Feb 13, 2026 (0 days) · corporate re-registration, not a move
- A••••••••• F•••••••• S•••••••• L•• to U••• B•••••• I••••••••• I•••left Feb 6, 2019, registered Mar 14, 2019 (36 days) · Affiliated broker-dealer or bank to another
- U••• B•••••• A•••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Jul 10, 2017, registered Jun 30, 2017 (-10 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
- 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