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.
R••••• P••• K•••••
- O•••• W•••••• I••• BD affiliated currentsince Jan 24, 2025 · Newport Beach, Ca
- O•••• F•• I••• formerDec 2, 2019 to Jan 24, 2025 · Westminster, Ca
- U••• B•••••• A•••••••• L•• BD affiliatedJan 24, 2017 to Oct 3, 2019 · Laguna Beach, Ca
- J••• M••••• S••••••••• L•• wirehouseJun 29, 2015 to Jan 31, 2017 · Huntington Beach, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 20, 2012 to May 13, 2015 · Newport Beach, Ca
- O•••• F•• I••• to O•••• W•••••• I•••left Jan 24, 2025, registered Jan 24, 2025 (0 days) · corporate re-registration, not a move
- U••• B•••••• A•••••••• L•• to O•••• F•• I•••left Oct 3, 2019, registered Dec 2, 2019 (60 days) · Affiliated broker-dealer or bank to another
- J••• M••••• S••••••••• L•• to U••• B•••••• A•••••••• L••left Jan 31, 2017, registered Jan 24, 2017 (-7 days) · Other · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• S••••••••• L••left May 13, 2015, registered Jun 29, 2015 (47 days) · Wirehouse to wirehouse · moved with a team
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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address