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.
B•••• S•••••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Anaheim, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• formerJan 20, 2021 to Mar 31, 2025 · Seal Beach, Ca
- T• A••••••••• I••••••••• M••••••••• L•• formerJun 14, 2007 to Jan 11, 2021 · Mission Viejo, Ca
- T• A••••••••• I••• formerJun 14, 2007 to Dec 31, 2020 · Irvine, Ca
- C•••••• S••••• • C••• I••• national BDOct 14, 2004 to Dec 15, 2005 · Irvine, Ca
- S•••••••• A••••••• L•• national BDOct 7, 2003 to Sep 22, 2004 · Sand Diego, Ca
- C•••••• S••••• • C••• I••• national BDAug 31, 1999 to Aug 14, 2003 · Laguna Hills, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jan 11, 2021, registered Jan 20, 2021 (9 days) · RIA to affiliated broker-dealer or bank · moved with a team
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Dec 31, 2020, registered Jun 14, 2007 (-4949 days) · corporate re-registration, not a move
- C•••••• S••••• • C••• I••• to T• A••••••••• I•••left Dec 15, 2005, registered Jun 14, 2007 (546 days) · Affiliated broker-dealer or bank to a newly registered adviser
- S•••••••• A••••••• L•• to C•••••• S••••• • C••• I•••left Sep 22, 2004, registered Oct 14, 2004 (22 days) · Affiliated broker-dealer or bank to another
- C•••••• S••••• • C••• I••• to S•••••••• A••••••• L••left Aug 14, 2003, registered Oct 7, 2003 (54 days) · Affiliated broker-dealer or bank to another
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
- National broker-dealer RIAderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address