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.
C••• T••• S••••••••
- O•••• W•••••• I••• BD affiliated currentsince Sep 1, 2023 · Escondido, Ca
- S•• D•••• W••••• M••••••••• L•• unclassifiedApr 6, 2011 to Sep 1, 2021 · San D••••, Ca
- S•••••••• F••••••••• I••• formerOct 31, 2005 to Sep 1, 2023 · San D••••, Ca
- S••••••••• S••••••••• I••• unclassifiedJan 21, 2004 to Oct 31, 2005 · La Jolla, Ca
- W•••• F•••• A••••••• wirehouseJul 1, 2003 to Jan 29, 2004 · San D••••, Ca
- P••••••••• E••••• G••••• L•• unclassifiedJul 8, 1997 to Jul 1, 2003 · San D••••, Ca
- S•••••••• F••••••••• I••• to S•• D•••• W••••• M••••••••• L••left Sep 1, 2023, registered Apr 6, 2011 (-4531 days) · Other
- S•• D•••• W••••• M••••••••• L•• to O•••• W•••••• I•••left Sep 1, 2021, registered Sep 1, 2023 (730 days) · Other
- S••••••••• S••••••••• I••• to S•••••••• F••••••••• I•••left Oct 31, 2005, registered Oct 31, 2005 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to S••••••••• S••••••••• I•••left Jan 29, 2004, registered Jan 21, 2004 (-8 days) · Other
- P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••left Jul 1, 2003, registered Jul 1, 2003 (0 days) · corporate re-registration, not a move
- C••• T••• S•••••••• added a NV registration at O•••• W•••••• I•••Sep 15, 2026 · New state registration · fact
- C••• T••• S•••••••• left S•••••••• F••••••••• I••• for S•• D•••• W••••• M••••••••• L•• (registered 2011-04-06)Sep 1, 2023 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address