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.
D•••• N••••••••
- W•••• F•••• A••••••• wirehouse currentsince Apr 2, 2026 · Los Angeles, Ca
- W•••• F•••• A••••••• wirehouse currentsince Feb 25, 2025 · Culver City, Ca
- S••• BD affiliatedApr 10, 2018 to Sep 9, 2024 · Los Angeles, Ca
- R•• S••••••••• I••• BD affiliatedAug 16, 2012 to Feb 27, 2013 · Los Angeles, Ca
- A•• A•••••• S••••••• L•• unclassifiedJun 22, 2006 to Jul 14, 2006 · Calabasas, Ca
- S••• to W•••• F•••• A•••••••left Sep 9, 2024, registered Feb 25, 2025 (169 days) · Affiliated broker-dealer or bank to wirehouse
- R•• S••••••••• I••• to S•••left Feb 27, 2013, registered Apr 10, 2018 (1868 days) · Other
- A•• A•••••• S••••••• L•• to R•• S••••••••• I•••left Jul 14, 2006, registered Aug 16, 2012 (2225 days) · Other
- D•••• N•••••••• left Seia for W•••• F•••• A••••••• (registered 2025-02-25)Sep 9, 2024 · a•••••• firm change · 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address