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.
- W•••• F•••• A••••••• wirehouse currentsince May 12, 2026 · St. Louis, Mo
- S•••••• W••••• P•••••••• L•• BD affiliatedSep 18, 2015 to Mar 2, 2026 · San Diego, Ca
- W•••• F•••• A••••••• wirehouseJul 1, 2003 to Sep 25, 2015 · Seal Beach, Ca
- P••••••••• E••••• G••••• L•• unclassifiedAug 23, 2002 to Jul 1, 2003 · Long Beach, Ca
- M••••• S•••••• D• I••• unclassifiedNov 29, 1999 to Aug 15, 2002 · San Diego, Ca
- S•••••• W••••• P•••••••• L•• to W•••• F•••• A•••••••left Mar 2, 2026, registered May 12, 2026 (71 days) · Affiliated broker-dealer or bank to wirehouse
- W•••• F•••• A••••••• to S•••••• W••••• P•••••••• L••left Sep 25, 2015, registered Sep 18, 2015 (-7 days) · Other · moved with a team
- P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••left Jul 1, 2003, registered Jul 1, 2003 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to P••••••••• E••••• G••••• L••left Aug 15, 2002, registered Aug 23, 2002 (8 days) · Other
- J•••••• A••• B•••• left S•••••• W••••• P•••••••• L•• for W•••• F•••• A••••••• (registered 2026-05-12)Mar 2, 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
- Wirehousederived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address