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.
A••••• S•••••••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Sep 5, 2025 · La Mesa, Ca
- A•••••• A••••••• S••••••• formerOct 8, 2020 to Sep 5, 2025 · La Mesa, Ca
- F•••• C•••••• A••••••• S••••••• BD affiliatedJun 26, 2019 to Sep 9, 2020 · Fort Worth, Tx
- F•• S••••••••• C••••••••• formerJan 3, 2019 to Jan 18, 2019 · Atlanta, Ga
- S•••••••• F••••••••• I••• formerJul 14, 2016 to Jan 17, 2017 · San Diego, Ca
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJan 7, 2010 to Jun 28, 2016 · San Diego, Ca
- M••••• S•••••• wirehouseJun 1, 2009 to Oct 8, 2009 · San Diego, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedSep 9, 2008 to Jun 1, 2009 · San Diego, Ca
- A•••••• A••••••• S••••••• to C••••• I••••••••• A••••••• L••left Sep 5, 2025, registered Sep 5, 2025 (0 days) · corporate re-registration, not a move
- F•••• C•••••• A••••••• S••••••• to A•••••• A••••••• S•••••••left Sep 9, 2020, registered Oct 8, 2020 (29 days) · Affiliated broker-dealer or bank to another
- F•• S••••••••• C••••••••• to F•••• C•••••• A••••••• S•••••••left Jan 18, 2019, registered Jun 26, 2019 (159 days) · Affiliated broker-dealer or bank to another
- S•••••••• F••••••••• I••• to F•• S••••••••• C•••••••••left Jan 17, 2017, registered Jan 3, 2019 (716 days) · Other
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to S•••••••• F••••••••• I•••left Jun 28, 2016, registered Jul 14, 2016 (16 days) · Other
- M••••• S•••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Oct 8, 2009, registered Jan 7, 2010 (91 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address