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.
- L•• F•••••••• L•• BD affiliated currentsince Jun 23, 2026 · Ontario, Ca
- L•• E••••••••• L•• BD affiliatedMar 7, 2025 to Jun 24, 2026 · Orange, Ca
- N• A••••••• state registeredNov 24, 2021 to Mar 22, 2023 · Milpitas, Ca
- C••••• I••••••••• A••••••• L•• BD affiliatedAug 9, 2019 to Jan 22, 2020 · Arcadia, Ca
- C••••• I••••••••• A••••••• L•• BD affiliatedSep 25, 2017 to Jul 3, 2019 · Los Angeles, Ca
- L•• F•••••••• L•• BD affiliatedMar 1, 2017 to Sep 25, 2017 · Los Angeles, Ca
- C••••• I••••••••• A••••••• L•• BD affiliatedJan 21, 2014 to Feb 28, 2017 · Los Angeles, Ca
- C••••• I••••••••• S••••••• L•• formerAug 24, 2012 to Jan 21, 2014 · Los Angeles, Ca
- C••••• I••••••••• S••••••• L•• formerMar 10, 2011 to Sep 9, 2011 · San Gabriel, Ca
- C•••• I••••••••• S••••••• C•••• formerMay 11, 2010 to Sep 8, 2010 · Arcadia, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 29, 2007 to Apr 20, 2010 · Burlingame, Ca
- C••••••• I••••••••• S••••••• unclassifiedJun 13, 2003 to May 29, 2007 · Foster City, Ca
- L•• E••••••••• L•• to L•• F•••••••• L••left Jun 24, 2026, registered Jun 23, 2026 (-1 days) · channel change inside one enterprise, not a move
- N• A••••••• to L•• E••••••••• L••left Mar 22, 2023, registered Mar 7, 2025 (716 days) · Other
- C••••• I••••••••• A••••••• L•• to N• A•••••••left Jan 22, 2020, registered Nov 24, 2021 (672 days) · Affiliated broker-dealer or bank to a state-registered adviser
- L•• F•••••••• L•• to C••••• I••••••••• A••••••• L••left Sep 25, 2017, registered Sep 25, 2017 (0 days) · Other · moved with a team
- C••••• I••••••••• A••••••• L•• to L•• F•••••••• L••left Feb 28, 2017, registered Mar 1, 2017 (1 days) · Other · moved with a team
- C••••• I••••••••• S••••••• L•• to C••••• I••••••••• A••••••• L••left Jan 21, 2014, registered Jan 21, 2014 (0 days) · corporate re-registration, not a move
- C•••• I••••••••• S••••••• C•••• to C••••• I••••••••• S••••••• L••left Sep 8, 2010, registered Mar 10, 2011 (183 days) · Other
- C•••••••• G••••• M•••••• I••• to C•••• I••••••••• S••••••• C••••left Apr 20, 2010, registered May 11, 2010 (21 days) · Other
- C••••••• I••••••••• S••••••• to C•••••••• G••••• M•••••• I•••left May 29, 2007, registered May 29, 2007 (0 days) · corporate re-registration, not a move
- C••• B•• left N• A••••••• for L•• E••••••••• L•• (registered 2025-03-07)Mar 22, 2023 · 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