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.
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- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Sep 5, 2025 · San Marcos, Ca
- A•••••• A••••••• S••••••• formerMar 9, 2021 to Sep 5, 2025 · Dallas, Tx
- E•••••••• A•••••••• L•• national BDOct 5, 2018 to Feb 3, 2021 · San Diego, Ca
- H•••••• T••••••• • K•••• L•• i••••••••• wealthJul 24, 2018 to Oct 16, 2018 · La Jolla, Ca
- K•••••••• W••••• A•••••••• L•• BD affiliatedNov 21, 2017 to Mar 14, 2018 · San Diego, Ca
- P•••• S••••••••• L•• no RAUMSep 21, 2016 to Nov 10, 2017 · San Diego, Ca
- I••••••••• F•••••••• G••••• L•• BD affiliatedNov 7, 2013 to Mar 22, 2016 · San Diego, Ca
- L•• F•••••••• L•• BD affiliatedJun 28, 2000 to Dec 16, 2011 · San Diego, Ca
- A•••••• A••••••• S••••••• to C••••• I••••••••• A••••••• L••left Sep 5, 2025, registered Sep 5, 2025 (0 days) · corporate re-registration, not a move
- E•••••••• A•••••••• L•• to A•••••• A••••••• S•••••••left Feb 3, 2021, registered Mar 9, 2021 (34 days) · Affiliated broker-dealer or bank to another
- H•••••• T••••••• • K•••• L•• to E•••••••• A•••••••• L••left Oct 16, 2018, registered Oct 5, 2018 (-11 days) · Affiliated broker-dealer or bank to another
- K•••••••• W••••• A•••••••• L•• to H•••••• T••••••• • K•••• L••left Mar 14, 2018, registered Jul 24, 2018 (132 days) · Other
- P•••• S••••••••• L•• to K•••••••• W••••• A•••••••• L••left Nov 10, 2017, registered Nov 21, 2017 (11 days) · Affiliated broker-dealer or bank to a newly registered adviser
- I••••••••• F•••••••• G••••• L•• to P•••• S••••••••• L••left Mar 22, 2016, registered Sep 21, 2016 (183 days) · Other
- L•• F•••••••• L•• to I••••••••• F•••••••• G••••• L••left Dec 16, 2011, registered Nov 7, 2013 (692 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
- 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