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.
- L•• F•••••••• L•• BD affiliated currentsince Aug 19, 2026 · Carlsbad, Ca
- L•• F•••••••• L•• BD affiliatedApr 29, 2026 to Apr 30, 2026 · Carlsbad, Ca
- S•• I••••••••• A•••••••• I••• formerMar 3, 2022 to Sep 30, 2025 · San Diego, Ca
- A••• I•••••• I•• independent RIAMar 16, 2020 to Dec 7, 2020 · Las Vegas, Nv
- K•••••••• W••••• A•••••••• L•• BD affiliatedJul 5, 2018 to Feb 19, 2019 · San Diego, Ca
- C••• F•••••••• S•••••••• L••• formerJan 12, 2015 to Jun 26, 2018 · San Diego, Ca
- S••••• A•••• M••••••••• U•• I••• mixed wealthFeb 10, 2006 to Dec 17, 2012 · Darien, Ct
- S•• I••••••••• A•••••••• I••• to L•• F•••••••• L••left Sep 30, 2025, registered Apr 29, 2026 (211 days) · channel change inside one enterprise, not a move
- A••• I•••••• I•• to S•• I••••••••• A•••••••• I•••left Dec 7, 2020, registered Mar 3, 2022 (451 days) · RIA to affiliated broker-dealer or bank
- K•••••••• W••••• A•••••••• L•• to A••• I•••••• I••left Feb 19, 2019, registered Mar 16, 2020 (391 days) · RIA to RIA
- C••• F•••••••• S•••••••• L••• to K•••••••• W••••• A•••••••• L••left Jun 26, 2018, registered Jul 5, 2018 (9 days) · Affiliated broker-dealer or bank to independent RIA
- S••••• A•••• M••••••••• U•• I••• to C••• F•••••••• S•••••••• L•••left Dec 17, 2012, registered Jan 12, 2015 (756 days) · Other
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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address