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.
G••••••• A•••• T••••
- P••••••••• S••••••••• C••••••••• independent RIA currentsince Nov 5, 2025 · Austin, Tx
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedOct 17, 2006 to Dec 11, 2013 · Morro Bay, Ca
- C•••••••• R••••••••• A••••••• unclassifiedJun 22, 2006 to Dec 31, 2006 · Grover Beach, Ca
- L••••• A•••••••• L•• formerJun 30, 2004 to Mar 30, 2006 · Los Osos, Ca
- C•••••••• I••••••••• R••••••• A•••••••• I••• to P••••••••• S••••••••• C•••••••••left Dec 11, 2013, registered Nov 5, 2025 (4347 days) · Other
- C•••••••• R••••••••• A••••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Dec 31, 2006, registered Oct 17, 2006 (-75 days) · Other
- L••••• A•••••••• L•• to C•••••••• R••••••••• A•••••••left Mar 30, 2006, registered Jun 22, 2006 (84 days) · Other
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