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••••••• S••••••••• A••••
- L•• F•••••••• L•• BD affiliated currentsince May 15, 2025 · San Pedro, Ca
- C••• F•••••••• S•••••••• L••• formerJul 22, 2022 to May 15, 2025 · San Diego, Ca
- U••• B•••••• I••••••••• I••• formerMar 15, 2019 to Jul 28, 2022 · Los Angeles, Ca
- L•• F•••••••• L•• BD affiliatedJan 16, 2018 to Mar 19, 2019 · Downey, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 23, 2011 to Jan 16, 2018 · Pasadena, Ca
- C•••• I••••••••• S••••••• C•••• formerNov 4, 2009 to Aug 17, 2011 · El Segundo, Ca
- U••• B•••••• I••••••••• I••• formerSep 26, 2006 to Oct 16, 2009 · Avalon, Ca
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedFeb 2, 2005 to Jul 25, 2006 · Carson, Ca
- C••• F•••••••• S•••••••• L••• to L•• F•••••••• L••left May 15, 2025, registered May 15, 2025 (0 days) · corporate re-registration, not a move
- U••• B•••••• I••••••••• I••• to C••• F•••••••• S•••••••• L•••left Jul 28, 2022, registered Jul 22, 2022 (-6 days) · Affiliated broker-dealer or bank to another
- L•• F•••••••• L•• to U••• B•••••• I••••••••• I•••left Mar 19, 2019, registered Mar 15, 2019 (-4 days) · RIA to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•• F•••••••• L••left Jan 16, 2018, registered Jan 16, 2018 (0 days) · Wirehouse to independent RIA
- C•••• I••••••••• S••••••• C•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 17, 2011, registered Aug 23, 2011 (6 days) · Other
- U••• B•••••• I••••••••• I••• to C•••• I••••••••• S••••••• C••••left Oct 16, 2009, registered Nov 4, 2009 (19 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to U••• B•••••• I••••••••• I•••left Jul 25, 2006, registered Sep 26, 2006 (63 days) · Other
- M••••••• S••••••••• A•••• left U••• B•••••• I••••••••• I••• for C••• F•••••••• S•••••••• L••• (registered 2022-07-22)Jul 28, 2022 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address