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.
M••• R••••
- M•• I•••••••• S•••••••• L•• BD affiliated currentsince Jun 10, 2026 · Canyon Lake, Ca
- E•••• S••••••••• L•• BD affiliatedJul 22, 2019 to Sep 16, 2025 · San Dimas, Ca
- M•• I•••••••• S•••••••• L•• BD affiliatedDec 24, 2013 to Aug 28, 2017 · El Segundo, Ca
- P•••• S••••••••• L•• no RAUMNov 5, 2010 to Jul 22, 2013 · City Of Industry, Ca
- L•• F•••••••• L•• BD affiliatedJun 14, 2007 to Sep 27, 2010 · Anaheim, Ca
- W••• I••••••••• I••• unclassifiedApr 4, 2005 to Jun 19, 2007 · Chino Hills, Ca
- C••••••• I••••••••• S••••••• unclassifiedDec 3, 2003 to Nov 16, 2004 · Fontana, Ca
- M••••• S•••••• D• I••• unclassifiedAug 24, 1998 to May 30, 2002 · Ontario, Ca
- E•••• S••••••••• L•• to M•• I•••••••• S•••••••• L••left Sep 16, 2025, registered Jun 10, 2026 (267 days) · Affiliated broker-dealer or bank to another
- M•• I•••••••• S•••••••• L•• to E•••• S••••••••• L••left Aug 28, 2017, registered Jul 22, 2019 (693 days) · Other
- P•••• S••••••••• L•• to M•• I•••••••• S•••••••• L••left Jul 22, 2013, registered Dec 24, 2013 (155 days) · Other
- L•• F•••••••• L•• to P•••• S••••••••• L••left Sep 27, 2010, registered Nov 5, 2010 (39 days) · Other
- W••• I••••••••• I••• to L•• F•••••••• L••left Jun 19, 2007, registered Jun 14, 2007 (-5 days) · Other
- C••••••• I••••••••• S••••••• to W••• I••••••••• I•••left Nov 16, 2004, registered Apr 4, 2005 (139 days) · Other
- M••••• S•••••• D• I••• to C••••••• I••••••••• S•••••••left May 30, 2002, registered Dec 3, 2003 (552 days) · Other
- M••• R•••• left E•••• S••••••••• L•• for M•• I•••••••• S•••••••• L•• (registered 2026-06-10)Sep 16, 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
- 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