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.
M•••••• T•••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jul 25, 2025 · Hamilton, Mt
- C••••••••• F•••••••• N•••••• national BDAug 10, 2022 to Jul 25, 2025 · San Diego, Ca
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedJan 2, 2009 to Aug 31, 2022 · Hamilton, Mt
- C••••• A•••••• N••••••• L•• formerSep 13, 2002 to Dec 31, 2008 · Coupeville, Wa
- C••••••••• F•••••••• N•••••• to A••••••••• F•••••••• S•••••••• L••left Jul 25, 2025, registered Jul 25, 2025 (0 days) · Affiliated broker-dealer or bank to another
- C•••••••• I••••••••• R••••••• A•••••••• I••• to C••••••••• F•••••••• N••••••left Aug 31, 2022, registered Aug 10, 2022 (-21 days) · Affiliated broker-dealer or bank to another
- C••••• A•••••• N••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Dec 31, 2008, registered Jan 2, 2009 (2 days) · Other
- M•••••• T••••• left C••••••••• F•••••••• N•••••• for A••••••••• F•••••••• S•••••••• L•• (registered 2025-07-25)Jul 25, 2025 · a•••••• firm change · fact
- M•••••• T••••• left C•••••••• I••••••••• R••••••• A•••••••• I••• for C••••••••• F•••••••• N•••••• (registered 2022-08-10)Aug 31, 2022 · 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
- National broker-dealer RIAderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address