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.
E•••• M•••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Aug 27, 2025 · Estero, Fl
- A•••••• A••••••• S••••••• formerApr 24, 2025 to Sep 5, 2025 · Estero, Fl
- A•••••• A••••••• S••••••• formerJan 14, 2022 to Jan 31, 2025 · Dallas, Tx
- F•••••••• A•••••••• I••••••••• M••••••••• formerApr 21, 2020 to Dec 17, 2021 · Trabuco Canyon, Ca
- C••••• A•••••• N••••••• L•• formerFeb 28, 2018 to Jul 17, 2019 · El Segundo, Ca
- A••••••••• I••• BD affiliatedMar 25, 2015 to Jan 29, 2018 · Castle Rock, Co
- L•••••• I••••••••• independent RIAAug 5, 2013 to Mar 26, 2015 · Fort Washington, Pa
- A••••••••• I••• BD affiliatedOct 6, 2009 to Jun 7, 2013 · Concord, Ca
- I••• A•••••••• I••• otherDec 19, 2005 to Sep 9, 2009 · Greenwood Village, Co
- A•••••• A••••••• S••••••• to C••••• I••••••••• A••••••• L••left Sep 5, 2025, registered Aug 27, 2025 (-9 days) · corporate re-registration, not a move
- F•••••••• A•••••••• I••••••••• M••••••••• to A•••••• A••••••• S•••••••left Dec 17, 2021, registered Jan 14, 2022 (28 days) · RIA to affiliated broker-dealer or bank
- C••••• A•••••• N••••••• L•• to F•••••••• A•••••••• I••••••••• M•••••••••left Jul 17, 2019, registered Apr 21, 2020 (279 days) · Affiliated broker-dealer or bank to independent RIA
- A••••••••• I••• to C••••• A•••••• N••••••• L••left Jan 29, 2018, registered Feb 28, 2018 (30 days) · Other
- L•••••• I••••••••• to A••••••••• I•••left Mar 26, 2015, registered Mar 25, 2015 (-1 days) · Other
- A••••••••• I••• to L•••••• I•••••••••left Jun 7, 2013, registered Aug 5, 2013 (59 days) · Other
- I••• A•••••••• I••• to A••••••••• I•••left Sep 9, 2009, registered Oct 6, 2009 (27 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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address