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.
K••••• M•••• J••••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Torrance, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• formerJun 25, 2019 to Mar 31, 2025 · Torrance, Ca
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedOct 5, 2018 to Jun 17, 2019 · Torrance, Ca
- P••• A••••• S••••••••• L•• BD affiliatedOct 12, 2017 to Jun 13, 2018 · Irvine, Ca
- C•••••••• F••••••••• I••• BD affiliatedMay 17, 2016 to Aug 25, 2017 · Rancho Palos Verdes, Ca
- L••••• W••••• A•••••••• I••• formerJan 6, 2012 to Aug 31, 2012 · Fallbrook, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- T••••••••• F•••••••• A•••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jun 17, 2019, registered Jun 25, 2019 (8 days) · Affiliated broker-dealer or bank to another
- P••• A••••• S••••••••• L•• to T••••••••• F•••••••• A•••••••• L••left Jun 13, 2018, registered Oct 5, 2018 (114 days) · Affiliated broker-dealer or bank to another
- C•••••••• F••••••••• I••• to P••• A••••• S••••••••• L••left Aug 25, 2017, registered Oct 12, 2017 (48 days) · Other
- L••••• W••••• A•••••••• I••• to C•••••••• F••••••••• I•••left Aug 31, 2012, registered May 17, 2016 (1355 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
- National broker-dealer RIAderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address