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.
A•• C••••
- P••••••• P•••••• W•••••• L•• independent RIA currentsince Jan 1, 2026 · P•••••••, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 14, 2013 to Jan 30, 2018 · P•••••••, Ca
- U••• B•••••• I••••••••• I••• formerJan 4, 2010 to Oct 7, 2011 · Dana Point, Ca
- C•••• I••••••••• S••••••• C•••• formerMay 2, 2009 to Dec 3, 2009 · Los Angeles, Ca
- W••• I••••••••• I••• unclassifiedAug 24, 2006 to May 2, 2009 · Los Angeles, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P••••••• P•••••• W•••••• L••left Jan 30, 2018, registered Jan 1, 2026 (2893 days) · Wirehouse to independent RIA
- U••• B•••••• I••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 7, 2011, registered Jun 14, 2013 (616 days) · Other
- C•••• I••••••••• S••••••• C•••• to U••• B•••••• I••••••••• I•••left Dec 3, 2009, registered Jan 4, 2010 (32 days) · Other
- W••• I••••••••• I••• to C•••• I••••••••• S••••••• C••••left May 2, 2009, registered May 2, 2009 (0 days) · corporate re-registration, not a move
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
- Independent wealth managerderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address