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•• W••••• independent RIA currentsince May 12, 2026 · Pasadena, Ca
- F•••• C••••••• I••••••• S•••••••• I••• BD affiliated currentsince Jan 12, 2023 · Pasadena, Ca
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to May 2, 2022 · Pasadena, Ca
- W•••• F•••• I••••••••• L•• unclassifiedFeb 28, 2002 to Jan 3, 2011 · Pasadena, Ca
- W•••• F•••• A••••••• to F•••• C••••••• I••••••• S•••••••• I•••left May 2, 2022, registered Jan 12, 2023 (255 days) · Wirehouse to affiliated broker-dealer or bank
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- A•• S••••••• left W•••• F•••• A••••••• for F•••• C••••••• I••••••• S•••••••• I••• (registered 2023-01-12)May 2, 2022 · 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
- Independent wealth managerderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address