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.
H•••••• L•• K••
- A•••• W••••• M••••••••• C•••• state registered currentsince Aug 19, 2025 · Buena Park, Ca
- A••••••• A••••••• S•••••••• L•• BD affiliatedNov 5, 2021 to Oct 18, 2023 · Buena Park, Ca
- O•••• W•••••• I••• BD affiliatedAug 28, 2019 to Dec 31, 2019 · Scottsdale, Az
- E••• A•••• M••••••••• L•• unclassifiedJan 23, 2018 to Mar 12, 2019 · Los Angeles, Ca
- C••••••••• S••••••••• L•• BD affiliatedOct 14, 2016 to Dec 31, 2017 · Los Angeles, Ca
- A••••••• A••••••• S••••••• formerAug 10, 2012 to Dec 31, 2014 · Lincoln, Ne
- S••••••• I••••••••• I••• formerMar 5, 2009 to Mar 25, 2011 · Irvine, Ca
- S••••••• I••••••••• I••• formerSep 21, 1999 to Mar 9, 2005 · Irvine, Ca
- A••••••• A••••••• S•••••••• L•• to A•••• W••••• M••••••••• C••••left Oct 18, 2023, registered Aug 19, 2025 (671 days) · Affiliated broker-dealer or bank to a state-registered adviser
- O•••• W•••••• I••• to A••••••• A••••••• S•••••••• L••left Dec 31, 2019, registered Nov 5, 2021 (675 days) · Affiliated broker-dealer or bank to another
- E••• A•••• M••••••••• L•• to O•••• W•••••• I•••left Mar 12, 2019, registered Aug 28, 2019 (169 days) · Other
- C••••••••• S••••••••• L•• to E••• A•••• M••••••••• L••left Dec 31, 2017, registered Jan 23, 2018 (23 days) · Other
- A••••••• A••••••• S••••••• to C••••••••• S••••••••• L••left Dec 31, 2014, registered Oct 14, 2016 (653 days) · Other
- S••••••• I••••••••• I••• to A••••••• A••••••• S•••••••left Mar 25, 2011, registered Aug 10, 2012 (504 days) · Other
- H•••••• L•• K•• left A••••••• A••••••• S•••••••• L•• for A•••• W••••• M••••••••• C•••• (registered 2025-08-19)Oct 18, 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
- STATE REGISTEREDderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address