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.
M••••• J•••••• L•••••••
- M••••••••• C••••••• L•• independent RIA currentsince Jan 2, 2026 · Newport Beach, Ca
- W••••• M••••••••• S••••••••• L•• formerMay 20, 2021 to Nov 6, 2023 · Newport Beach, Ca
- F•••••••• A•••••••• I••••••••• M••••••••• formerNov 14, 2017 to Aug 27, 2021 · Newport Beach, Ca
- P•••• W••••• M••••••••• I••• unclassifiedMay 8, 2008 to Nov 1, 2016 · Newport Beach, Ca
- L•• F•••••••• L•• BD affiliatedSep 7, 2007 to Mar 2, 2018 · Torrance, Ca
- M••••• S•••••• C••••••••• unclassifiedJun 30, 2001 to Sep 14, 2007 · Rancho Santa Margarita, Ca
- W••••• M••••••••• S••••••••• L•• to M••••••••• C••••••• L••left Nov 6, 2023, registered Jan 2, 2026 (788 days) · RIA to RIA
- F•••••••• A•••••••• I••••••••• M••••••••• to W••••• M••••••••• S••••••••• L••left Aug 27, 2021, registered May 20, 2021 (-99 days) · RIA to RIA
- L•• F•••••••• L•• to P•••• W••••• M••••••••• I•••left Mar 2, 2018, registered May 8, 2008 (-3585 days) · Other
- P•••• W••••• M••••••••• I••• to F•••••••• A•••••••• I••••••••• M•••••••••left Nov 1, 2016, registered Nov 14, 2017 (378 days) · Other
- M••••• S•••••• C••••••••• to L•• F•••••••• L••left Sep 14, 2007, registered Sep 7, 2007 (-7 days) · Other
- M••••• J•••••• L••••••• left W••••• M••••••••• S••••••••• L•• for M••••••••• C••••••• L•• (registered 2026-01-02)Nov 6, 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
- Independent wealth managerderived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address