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.
- S••••• P•••••• W••••• no RAUM currentsince Sep 4, 2026 · Bethesda, Md
- R•• C•••••• M••••••• L•• national BDAug 28, 2024 to Sep 4, 2026 · Chevy Chase, Md
- W•••• F•••• A••••••• wirehouseJun 29, 2017 to Sep 12, 2024 · Beverly Hills, Ca
- M••••• S•••••• wirehouseJun 1, 2009 to Jun 30, 2017 · Los Angeles, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedOct 26, 2007 to Jun 1, 2009 · Los Angeles, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2000 to Oct 29, 2007 · Beverly Hills, Ca
- R•• C•••••• M••••••• L•• to S••••• P•••••• W•••••left Sep 4, 2026, registered Sep 4, 2026 (0 days) · Affiliated broker-dealer or bank to a newly registered adviser · moved with a team
- W•••• F•••• A••••••• to R•• C•••••• M••••••• L••left Sep 12, 2024, registered Aug 28, 2024 (-15 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• to W•••• F•••• A•••••••left Jun 30, 2017, registered Jun 29, 2017 (-1 days) · Wirehouse to wirehouse · moved with a team
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••••• G••••• M•••••• I•••left Oct 29, 2007, registered Oct 26, 2007 (-3 days) · Other
- B•••••• S••••• left R•• C•••••• M••••••• L•• for S••••• P•••••• W••••• (registered 2026-09-04)Sep 4, 2026 · Advisor changed firm · fact
- B•••••• S••••• left W•••• F•••• A••••••• for R•• C•••••• M••••••• L•• (registered 2024-08-28)Sep 12, 2024 · 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
- No RAUM reportedderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address