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.
M•••••• D•••••• B••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Sacramento, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• formerJan 17, 2019 to Mar 31, 2025 · Irvine, Ca
- R••••• F•••••••• A••••••• formerJul 22, 2017 to Nov 16, 2018 · La Mesa, Ca
- U••• F•••••••• P••••••• S••••••• formerApr 18, 2011 to Jul 22, 2016 · Addison, Tx
- C•••• I••••••••• S••••••• C•••• formerMay 27, 2009 to Mar 23, 2011 · Dallas, Tx
- M••••• S•••••• • C•• L•• unclassifiedJun 9, 2008 to Jan 12, 2009 · Dallas, Tx
- J••• M••••• S••••••••• L•• wirehouseNov 1, 2006 to Sep 12, 2007 · Dallas, Tx
- C•••• I••••••••• S••••••• C•••• formerFeb 1, 2005 to Apr 5, 2005 · Arlington, Tx
- 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
- R••••• F•••••••• A••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Nov 16, 2018, registered Jan 17, 2019 (62 days) · RIA to affiliated broker-dealer or bank
- U••• F•••••••• P••••••• S••••••• to R••••• F•••••••• A•••••••left Jul 22, 2016, registered Jul 22, 2017 (365 days) · Other
- C•••• I••••••••• S••••••• C•••• to U••• F•••••••• P••••••• S•••••••left Mar 23, 2011, registered Apr 18, 2011 (26 days) · Other
- M••••• S•••••• • C•• L•• to C•••• I••••••••• S••••••• C••••left Jan 12, 2009, registered May 27, 2009 (135 days) · Other
- J••• M••••• S••••••••• L•• to M••••• S•••••• • C•• L••left Sep 12, 2007, registered Jun 9, 2008 (271 days) · Other
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Apr 5, 2005, registered Nov 1, 2006 (575 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
- National broker-dealer RIAderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address