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.
N•••••• A•••• M•••••
- U••• B•••••• A•••••••• L•• BD affiliated currentsince Feb 13, 2026 · Burbank, Ca
- U••• B•••••• I••••••••• I••• formerAug 31, 2021 to Feb 13, 2026 · Burbank, Ca
- B••••••• I••••••••• S•••••••• I••• ••••• formerMar 22, 2018 to Sep 9, 2021 · Santa Fe Springs, Ca
- M•• S••••••••• I••• unclassifiedAug 6, 2015 to Aug 18, 2017 · Alexandria, Va
- W•••• F•••• A••••••• wirehouseFeb 1, 2007 to Sep 16, 2008 · Oakhurst, Nj
- M••••• S•••••• D• I••• unclassifiedAug 11, 2000 to Oct 1, 2002 · Fallbrook, Ca
- U••• B•••••• I••••••••• I••• to U••• B•••••• A•••••••• L••left Feb 13, 2026, registered Feb 13, 2026 (0 days) · corporate re-registration, not a move
- B••••••• I••••••••• S•••••••• I••• ••••• to U••• B•••••• I••••••••• I•••left Sep 9, 2021, registered Aug 31, 2021 (-9 days) · Affiliated broker-dealer or bank to another
- M•• S••••••••• I••• to B••••••• I••••••••• S•••••••• I••• •••••left Aug 18, 2017, registered Mar 22, 2018 (216 days) · Other
- W•••• F•••• A••••••• to M•• S••••••••• I•••left Sep 16, 2008, registered Aug 6, 2015 (2515 days) · Other
- M••••• S•••••• D• I••• to W•••• F•••• A•••••••left Oct 1, 2002, registered Feb 1, 2007 (1584 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address