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.
- C•••••• independent RIA currentsince Jan 1, 2025 · Newport Beach, Ca
- D•••••• • Y•••••• L•• formerMar 10, 2022 to Mar 31, 2023 · San Diego, Ca
- W•••••• • R••• formerMar 2, 2011 to Apr 19, 2016 · Overland Park, Ks
- J••• H•••••• I••••••••• M••••••••• L•• asset managerSep 8, 2008 to Dec 31, 2010 · Boston, Ma
- M••••••• I••••••••• M••••••••• ••• L•• asset managerSep 8, 2008 to Jan 20, 2011 · Boston, Ma
- S•••••••• A••••••• L•• national BDJun 9, 2005 to Sep 12, 2008 · Mission Viejo, Ca
- D•••••• • Y•••••• L•• to C••••••left Mar 31, 2023, registered Jan 1, 2025 (642 days) · RIA to RIA · moved with a team
- W•••••• • R••• to D•••••• • Y•••••• L••left Apr 19, 2016, registered Mar 10, 2022 (2151 days) · Other
- M••••••• I••••••••• M••••••••• ••• L•• to W•••••• • R•••left Jan 20, 2011, registered Mar 2, 2011 (41 days) · Other
- J••• H•••••• I••••••••• M••••••••• L•• to M••••••• I••••••••• M••••••••• ••• L••left Dec 31, 2010, registered Sep 8, 2008 (-844 days) · corporate re-registration, not a move
- S•••••••• A••••••• L•• to J••• H•••••• I••••••••• M••••••••• L••left Sep 12, 2008, registered Sep 8, 2008 (-4 days) · Other
- C•••• M••••• J•••••• left D•••••• • Y•••••• L•• for Corient (registered 2025-01-01)Mar 31, 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
- Independent wealth managerderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address