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.
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- L•• F•••••••• L•• BD affiliated currentsince Jun 5, 2025 · Vacaville, Ca
- W•••••• I••••••••• S••••••••• formerSep 4, 2008 to Jun 5, 2025 · Pasadena, Ca
- F•••• A••••• S••••••••• I••• formerAug 23, 2006 to Jun 6, 2008 · San Diego, Ca
- I•••••••• R•••••••• G••••• I••• unclassifiedApr 13, 2004 to Nov 16, 2004 · Sacramento, Ca
- U•• F•••••••• S••••••• I••• wirehouseJun 21, 2001 to May 10, 2004 · Sacramento, Ca
- W•••••• I••••••••• S••••••••• to L•• F•••••••• L••left Jun 5, 2025, registered Jun 5, 2025 (0 days) · corporate re-registration, not a move
- F•••• A••••• S••••••••• I••• to W•••••• I••••••••• S•••••••••left Jun 6, 2008, registered Sep 4, 2008 (90 days) · Other
- I•••••••• R•••••••• G••••• I••• to F•••• A••••• S••••••••• I•••left Nov 16, 2004, registered Aug 23, 2006 (645 days) · Other
- U•• F•••••••• S••••••• I••• to I•••••••• R•••••••• G••••• I•••left May 10, 2004, registered Apr 13, 2004 (-27 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
- 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