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.
D••••• M•••••• M••••••
- L•• F•••••••• L•• BD affiliated currentsince Jun 5, 2025 · Thousand Oaks, Ca
- W•••••• I••••••••• S••••••••• formerAug 21, 2017 to Jun 5, 2025 · Irvine, Ca
- F•••••••• W••• G•••• formerJul 25, 2007 to Aug 21, 2017 · Thousand Oaks, Ca
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jul 17, 2007 · Thousand Oaks, Ca
- M••••• S•••••• D• I••• unclassifiedNov 1, 2004 to Apr 2, 2007 · Thousand Oaks, Ca
- W•••••• I••••••••• S••••••••• to L•• F•••••••• L••left Jun 5, 2025, registered Jun 5, 2025 (0 days) · corporate re-registration, not a move
- F•••••••• W••• G•••• to W•••••• I••••••••• S•••••••••left Aug 21, 2017, registered Aug 21, 2017 (0 days) · corporate re-registration, not a move
- M••••• S•••••• • C•• L•• to F•••••••• W••• G••••left Jul 17, 2007, registered Jul 25, 2007 (8 days) · Other
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
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
- 48derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address