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••••• M•••• H••••••
- L•• F•••••••• L•• BD affiliated currentsince May 15, 2025 · Pasadena, Ca
- C••• F•••••••• S•••••••• L••• formerJan 16, 2023 to May 15, 2025 · Pasadena, Ca
- W••••• F•••••••• S•••••••• L•• formerNov 7, 2016 to Feb 6, 2023 · Glendale, Ca
- O•••• I••••••••• I••• BD affiliatedJul 1, 2016 to Nov 3, 2016 · Napa, Ca
- E•••• N••••••• S••••••••• I••• formerDec 24, 2013 to Jul 1, 2016 · Napa, Ca
- V•••• F•••••••• A•••••••• I••• BD affiliatedMar 29, 2011 to Jul 18, 2013 · Woodland Hills, Ca
- C••• F•••••••• S•••••••• L••• to L•• F•••••••• L••left May 15, 2025, registered May 15, 2025 (0 days) · corporate re-registration, not a move
- W••••• F•••••••• S•••••••• L•• to C••• F•••••••• S•••••••• L•••left Feb 6, 2023, registered Jan 16, 2023 (-21 days) · RIA to affiliated broker-dealer or bank · moved with a team
- O•••• I••••••••• I••• to W••••• F•••••••• S•••••••• L••left Nov 3, 2016, registered Nov 7, 2016 (4 days) · Other
- E•••• N••••••• S••••••••• I••• to O•••• I••••••••• I•••left Jul 1, 2016, registered Jul 1, 2016 (0 days) · corporate re-registration, not a move
- V•••• F•••••••• A•••••••• I••• to E•••• N••••••• S••••••••• I•••left Jul 18, 2013, registered Dec 24, 2013 (159 days) · Other
- S••••• M•••• H•••••• left W••••• F•••••••• S•••••••• L•• for C••• F•••••••• S•••••••• L••• (registered 2023-01-16)Feb 6, 2023 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address