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.
J••••••• J•••• A••••
- L•• F•••••••• L•• BD affiliated currentsince May 15, 2025 · Anaheim, Ca
- C••• F•••••••• S•••••••• L••• formerJan 16, 2023 to May 15, 2025 · Anaheim, Ca
- W••••• F•••••••• S•••••••• L•• formerOct 13, 2017 to Feb 7, 2023 · Pasadena, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedJun 11, 2013 to Oct 26, 2017 · Fountain Valley, Ca
- B••••••• I••••••••• S•••••••• I••• ••••• formerOct 18, 2012 to Feb 11, 2013 · Newport Beach, Ca
- U••• B•••••• A•••••••• L•• BD affiliatedDec 22, 1997 to Mar 29, 2010 · Big Bear Lake, Ca
- C••• F•••••••• S•••••••• L••• to L•• F•••••••• L••left May 15, 2025, registered May 15, 2025 (0 days) · corporate re-registration, not a move
- W••••• F•••••••• S•••••••• L•• to C••• F•••••••• S•••••••• L•••left Feb 7, 2023, registered Jan 16, 2023 (-22 days) · RIA to affiliated broker-dealer or bank · moved with a team
- C•••••••• G••••• M•••••• I••• to W••••• F•••••••• S•••••••• L••left Oct 26, 2017, registered Oct 13, 2017 (-13 days) · Other
- B••••••• I••••••••• S•••••••• I••• ••••• to C•••••••• G••••• M•••••• I•••left Feb 11, 2013, registered Jun 11, 2013 (120 days) · Other
- U••• B•••••• A•••••••• L•• to B••••••• I••••••••• S•••••••• I••• •••••left Mar 29, 2010, registered Oct 18, 2012 (934 days) · Other
- J••••••• J•••• A•••• left W••••• F•••••••• S•••••••• L•• for C••• F•••••••• S•••••••• L••• (registered 2023-01-16)Feb 7, 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
- 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