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.
A•••• B•••••
- L•• F•••••••• L•• BD affiliated currentsince May 15, 2025 · Chino, Ca
- C••• F•••••••• S•••••••• L••• formerFeb 18, 2015 to May 15, 2025 · Rancho Cucamonga, Ca
- L•• F•••••••• L•• BD affiliatedOct 20, 2010 to Feb 19, 2015 · San Bernardino, Ca
- E•••• N••••••• S••••••••• I••• formerJan 19, 2010 to Oct 18, 2010 · San Bernardino, Ca
- A•••••••• I••••••••• C•••••• L•• unclassifiedMar 25, 2009 to Jan 19, 2010 · San Bernardino, Ca
- I•••••••• P••••••• I••• unclassifiedSep 25, 2008 to Mar 25, 2009 · San Bernardino, Ca
- I••• S••••••••• I••• unclassifiedFeb 9, 2005 to Jun 22, 2006 · San Bernardino, 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
- L•• F•••••••• L•• to C••• F•••••••• S•••••••• L•••left Feb 19, 2015, registered Feb 18, 2015 (-1 days) · Other
- E•••• N••••••• S••••••••• I••• to L•• F•••••••• L••left Oct 18, 2010, registered Oct 20, 2010 (2 days) · Other
- A•••••••• I••••••••• C•••••• L•• to E•••• N••••••• S••••••••• I•••left Jan 19, 2010, registered Jan 19, 2010 (0 days) · Other
- I•••••••• P••••••• I••• to A•••••••• I••••••••• C•••••• L••left Mar 25, 2009, registered Mar 25, 2009 (0 days) · Other
- I••• S••••••••• I••• to I•••••••• P••••••• I•••left Jun 22, 2006, registered Sep 25, 2008 (826 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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address