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.
B••••••• A••• G•••••••
- W•••• F•••• A••••••• wirehouse currentsince Aug 7, 2025 · Seal Beach, Ca
- R•• C•••••• M••••••• L•• national BDFeb 4, 2013 to Aug 15, 2025 · Seal Beach, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedJul 7, 2011 to Feb 27, 2013 · Los Angeles, Ca
- D••••••• B••• S••••••••• I••• no RAUMOct 15, 2007 to Jul 8, 2011 · Los Angeles, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedAug 2, 2004 to Oct 16, 2007 · Los Angeles, Ca
- M••••• S•••••• D• I••• unclassifiedSep 14, 1998 to Aug 6, 2004 · Sherman Oak, Ca
- R•• C•••••• M••••••• L•• to W•••• F•••• A•••••••left Aug 15, 2025, registered Aug 7, 2025 (-8 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- C•••••••• G••••• M•••••• I••• to R•• C•••••• M••••••• L••left Feb 27, 2013, registered Feb 4, 2013 (-23 days) · Other
- D••••••• B••• S••••••••• I••• to C•••••••• G••••• M•••••• I•••left Jul 8, 2011, registered Jul 7, 2011 (-1 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to D••••••• B••• S••••••••• I•••left Oct 16, 2007, registered Oct 15, 2007 (-1 days) · Other
- M••••• S•••••• D• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Aug 6, 2004, registered Aug 2, 2004 (-4 days) · Other
- B••••••• A••• G••••••• left R•• C•••••• M••••••• L•• for W•••• F•••• A••••••• (registered 2025-08-07)Aug 15, 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
- Wirehousederived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address