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.
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D••••• A•••• H••••••
- L•• F•••••••• L•• BD affiliated currentsince Jun 23, 2026 · San Clemente, Ca
- M••••• S•••••• wirehouseJul 9, 2015 to Jun 24, 2026 · Irvine, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Jul 10, 2015 · Laguna Niguel, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedJun 18, 2007 to Oct 23, 2009 · Laguna Niguel, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 1, 2001 to Jul 2, 2007 · Irvine, Ca
- M••••• S•••••• to L•• F•••••••• L••left Jun 24, 2026, registered Jun 23, 2026 (-1 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Jul 10, 2015, registered Jul 9, 2015 (-1 days) · Wirehouse to wirehouse · moved with a team
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
- C•••••••• G••••• M•••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Jul 2, 2007, registered Jun 18, 2007 (-14 days) · Other
- D••••• A•••• H•••••• left M••••• S•••••• for L•• F•••••••• L•• (registered 2026-06-23)Jun 24, 2026 · 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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address