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.
- O••••• C••••••• L•• former currentsince Mar 4, 2026 · Newport Beach, Ca
- L•• E••••••••• L•• BD affiliatedNov 14, 2024 to Feb 19, 2026 · San Jose, Ca
- P•••• S••••••••• L•• no RAUMMay 17, 2019 to Nov 14, 2024 · Walnut Creek, Ca
- W•••••• • R••• formerJun 3, 2013 to Dec 31, 2018 · Concord, Ca
- L•• E••••••••• L•• to O••••• C••••••• L••left Feb 19, 2026, registered Mar 4, 2026 (13 days) · Affiliated broker-dealer or bank to independent RIA
- P•••• S••••••••• L•• to L•• E••••••••• L••left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
- W•••••• • R••• to P•••• S••••••••• L••left Dec 31, 2018, registered May 17, 2019 (137 days) · Affiliated broker-dealer or bank to another
- E••••• L••••• T••••• left L•• E••••••••• L•• for O••••• C••••••• L•• (registered 2026-03-04)Feb 19, 2026 · 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
- Former SEC-registered adviserderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address