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.
- N•••••• A••••••• BD affiliated currentsince Mar 18, 2025 · Temecula, Ca
- M•••••• T••••• F•••••••• formerNov 6, 2015 to Jan 31, 2025 · San Diego, Ca
- N••••••• A••••••• L•• independent RIAFeb 7, 2011 to Sep 23, 2011 · San Diego, Ca
- M•••••• T••••• F•••••••• to N•••••• A•••••••left Jan 31, 2025, registered Mar 18, 2025 (46 days) · RIA to affiliated broker-dealer or bank · moved with a team
- N••••••• A••••••• L•• to M•••••• T••••• F••••••••left Sep 23, 2011, registered Nov 6, 2015 (1505 days) · Other
- S••••• F••••• B•••• left M•••••• T••••• F•••••••• for N•••••• A••••••• (registered 2025-03-18)Jan 31, 2025 · 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
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address