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••• M•••••• L••••
- O•••• W•••••• I••• BD affiliated currentsince Jul 22, 2025 · Corona, Ca
- M•••••• A•••••• N•••••• BD affiliatedNov 1, 2016 to Aug 7, 2025 · Corona, Ca
- W••••••••• P••••••• formerJun 16, 2016 to Mar 28, 2017 · Corona, Ca
- T•••••• C••••••• I••• independent RIAFeb 9, 2016 to Jul 21, 2016 · Corona, Ca
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerAug 31, 2012 to Jun 7, 2016 · Corona, Ca
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedJan 6, 2012 to Aug 23, 2012 · Orange, Ca
- I••••••••• A••••••• I••••••••• I••• unclassifiedJul 14, 2010 to Jan 6, 2012 · San Jose, Ca
- M•• F•••••••• S•••••••• I••• formerJul 24, 1997 to Jun 22, 2010 · Moreno Valley, Ca
- M•••••• A•••••• N•••••• to O•••• W•••••• I•••left Aug 7, 2025, registered Jul 22, 2025 (-16 days) · Affiliated broker-dealer or bank to another · moved with a team
- W••••••••• P••••••• to M•••••• A•••••• N••••••left Mar 28, 2017, registered Nov 1, 2016 (-147 days) · Other · moved with a team
- T•••••• C••••••• I••• to W••••••••• P•••••••left Jul 21, 2016, registered Jun 16, 2016 (-35 days) · Other
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to T•••••• C••••••• I•••left Jun 7, 2016, registered Feb 9, 2016 (-119 days) · Other · moved with a team
- T••••••••• F•••••••• A•••••••• L•• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left Aug 23, 2012, registered Aug 31, 2012 (8 days) · Other
- I••••••••• A••••••• I••••••••• I••• to T••••••••• F•••••••• A•••••••• L••left Jan 6, 2012, registered Jan 6, 2012 (0 days) · corporate re-registration, not a move
- M•• F•••••••• S•••••••• I••• to I••••••••• A••••••• I••••••••• I•••left Jun 22, 2010, registered Jul 14, 2010 (22 days) · Other
- P••• M•••••• L•••• left M•••••• A•••••• N•••••• for O•••• W•••••• I••• (registered 2025-07-22)Aug 7, 2025 · a•••••• firm change · 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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address