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.
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- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Orange, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Mar 31, 2025 · Boston, Ma
- S•••••••• A••••••• L•• national BDAug 26, 2008 to Jul 13, 2018 · Brea, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedMar 3, 2008 to Jul 8, 2008 · Pasadena, Ca
- T• A••••••••• I••••••••• M••••••••• L•• formerApr 25, 2006 to Mar 4, 2008 · Pasadena, Ca
- T• A••••••••• I••• formerDec 8, 2004 to Mar 4, 2008 · Pasadena, Ca
- C•••••• S••••• • C••• I••• national BDJul 8, 1997 to Nov 24, 2004 · Ca
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- B••• O• A•••••• I••••••••• S•••••••• I••• to S•••••••• A••••••• L••left Jul 8, 2008, registered Aug 26, 2008 (49 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to B••• O• A•••••• I••••••••• S•••••••• I•••left Mar 4, 2008, registered Mar 3, 2008 (-1 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Mar 4, 2008, registered Apr 25, 2006 (-679 days) · channel change inside one enterprise, not a move
- C•••••• S••••• • C••• I••• to T• A••••••••• I•••left Nov 24, 2004, registered Dec 8, 2004 (14 days) · Affiliated broker-dealer or bank to a newly registered adviser
- V••••• L•• no longer holds an investment adviser registration (last listed at S•••••••• A••••••• L•• on the 2026-09-17 feed)Sep 17, 2026 · Advisor registration ended · derived
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
- National broker-dealer RIAderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address