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.
I•• A••••• C•••••
- L•• F•••••••• L•• BD affiliated currentsince Jul 11, 2016 · Glendale, Ca
- C••••••••• F•••••••• P•••••••• I••• state registeredSep 21, 2023 to Nov 3, 2025 · Glendale, Ca
- C••••••••• F•••••••• P••••••• unclassifiedJan 25, 2016 to Sep 22, 2023 · Glendale, Ca
- C••••••••• F•••••••• P••••••• unclassifiedMay 3, 2012 to Dec 31, 2015 · Glendale, Ca
- U••• F•••••••• A••••••• formerApr 28, 2010 to Dec 5, 2011 · Burbank, Ca
- O•••• F•• I••• formerApr 23, 2010 to Apr 23, 2010 · Glendale, Ca
- C••••• A•••••• N••••••• L•• formerFeb 12, 2003 to Apr 27, 2010 · Burbank, Ca
- C••••••••• F•••••••• P•••••••• I••• to no registered destinationleft Nov 3, 2025 · Departure, no registered destination
- C••••••••• F•••••••• P••••••• to L•• F•••••••• L••left Sep 22, 2023, registered Jul 11, 2016 (-2629 days) · Other
- U••• F•••••••• A••••••• to C••••••••• F•••••••• P•••••••left Dec 5, 2011, registered May 3, 2012 (150 days) · Other
- C••••• A•••••• N••••••• L•• to O•••• F•• I•••left Apr 27, 2010, registered Apr 23, 2010 (-4 days) · Other
- O•••• F•• I••• to U••• F•••••••• A•••••••left Apr 23, 2010, registered Apr 28, 2010 (5 days) · Other
- I•• A••••• C••••• no longer registered at C••••••••• F•••••••• P•••••••• I•••; no later IA registration on IAPDNov 3, 2025 · a•••••• departure · fact
- I•• A••••• C••••• left C••••••••• F•••••••• P••••••• for L•• F•••••••• L•• (registered 2016-07-11)Sep 22, 2023 · a•••••• firm change · 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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address