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••••• D•• L••
- L•• F•••••••• L•• BD affiliated currentsince Jul 21, 2025 · Long Beach, Ca
- O•••• I••••••••• I••• BD affiliatedAug 1, 2022 to Jul 22, 2025 · Long Beach, Ca
- W••••••• F•••••••• S•••••••• I••• formerMar 1, 2019 to Aug 3, 2022 · Long Beach, Ca
- Q•••••• A•••• M••••••••• I••• formerFeb 29, 2016 to Mar 1, 2019 · Long Beach, Ca
- L•• F•••••••• L•• BD affiliatedJan 3, 2012 to Mar 8, 2016 · Lakewood, Ca
- C••• B•••••••• S•••••••• I••• formerJun 20, 2005 to Dec 31, 2011 · Torrance, Ca
- E•••• N••••••• S••••••••• I••• formerAug 9, 2004 to Mar 4, 2005 · Napa, Ca
- O•••• I••••••••• I••• to L•• F•••••••• L••left Jul 22, 2025, registered Jul 21, 2025 (-1 days) · Affiliated broker-dealer or bank to another
- W••••••• F•••••••• S•••••••• I••• to O•••• I••••••••• I•••left Aug 3, 2022, registered Aug 1, 2022 (-2 days) · Affiliated broker-dealer or bank to another
- Q•••••• A•••• M••••••••• I••• to W••••••• F•••••••• S•••••••• I•••left Mar 1, 2019, registered Mar 1, 2019 (0 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to Q•••••• A•••• M••••••••• I•••left Mar 8, 2016, registered Feb 29, 2016 (-8 days) · Other
- C••• B•••••••• S•••••••• I••• to L•• F•••••••• L••left Dec 31, 2011, registered Jan 3, 2012 (3 days) · Other
- E•••• N••••••• S••••••••• I••• to C••• B•••••••• S•••••••• I•••left Mar 4, 2005, registered Jun 20, 2005 (108 days) · Other
- D••••• D•• L•• left O•••• I••••••••• I••• for L•• F•••••••• L•• (registered 2025-07-21)Jul 22, 2025 · Advisor changed firm · fact
- D••••• D•• L•• left W••••••• F•••••••• S•••••••• I••• for O•••• I••••••••• I••• (registered 2022-08-01)Aug 3, 2022 · 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