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.
D•••• T••••• S•••••••
- L•• F•••••••• L•• BD affiliated currentsince Jul 7, 2025 · San Diego, Ca
- O•••• W•••••• I••• BD affiliatedJan 19, 2024 to Jul 22, 2025 · Irvine, Ca
- W••••••• F•••••••• S•••••••• I••• formerAug 10, 2017 to Jan 19, 2024 · Irvine, Ca
- I••••••••• F•••••••• G••••• L•• BD affiliatedMay 7, 2012 to Jul 31, 2017 · San Diego, Ca
- P•••••• W••• F•••••••• C••••••••• I•• formerNov 19, 2010 to Feb 16, 2012 · Renton, Wa
- L•• F•••••••• L•• BD affiliatedSep 27, 2004 to Sep 30, 2010 · Costa Mesa, Ca
- W•••• F•••• A••••••• wirehouseMar 22, 2002 to Oct 7, 2004 · Newport Beach, Ca
- O•••• W•••••• I••• to L•• F•••••••• L••left Jul 22, 2025, registered Jul 7, 2025 (-15 days) · Affiliated broker-dealer or bank to another · moved with a team
- W••••••• F•••••••• S•••••••• I••• to O•••• W•••••• I•••left Jan 19, 2024, registered Jan 19, 2024 (0 days) · corporate re-registration, not a move
- I••••••••• F•••••••• G••••• L•• to W••••••• F•••••••• S•••••••• I•••left Jul 31, 2017, registered Aug 10, 2017 (10 days) · Other
- P•••••• W••• F•••••••• C••••••••• I•• to I••••••••• F•••••••• G••••• L••left Feb 16, 2012, registered May 7, 2012 (81 days) · Other
- L•• F•••••••• L•• to P•••••• W••• F•••••••• C••••••••• I••left Sep 30, 2010, registered Nov 19, 2010 (50 days) · Other
- W•••• F•••• A••••••• to L•• F•••••••• L••left Oct 7, 2004, registered Sep 27, 2004 (-10 days) · Other
- D•••• T••••• S••••••• left O•••• W•••••• I••• for L•• F•••••••• L•• (registered 2025-07-07)Jul 22, 2025 · 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
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address