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.
N••• C•••••••••
- U••• B•••••• A•••••••• L•• BD affiliated currentsince Sep 26, 2025 · Saint Paul, Mn
- U••• B•••••• I••••••••• I••• formerApr 25, 2023 to Feb 13, 2026 · San Diego, Ca
- L•• F•••••••• L•• BD affiliatedNov 19, 2012 to Apr 26, 2023 · San Diego, Ca
- N•• A•••••• S•••••••• L•• formerAug 12, 2011 to Nov 9, 2012 · Austin, Tx
- L•• F•••••••• L•• BD affiliatedSep 23, 2009 to Aug 9, 2011 · San Diego, Ca
- H• B•••• I••• formerJan 2, 2009 to Sep 21, 2009 · Rockville, Md
- U••• B•••••• I••••••••• I••• to U••• B•••••• A•••••••• L••left Feb 13, 2026, registered Sep 26, 2025 (-140 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to U••• B•••••• I••••••••• I•••left Apr 26, 2023, registered Apr 25, 2023 (-1 days) · Affiliated broker-dealer or bank to another
- N•• A•••••• S•••••••• L•• to L•• F•••••••• L••left Nov 9, 2012, registered Nov 19, 2012 (10 days) · Other
- L•• F•••••••• L•• to N•• A•••••• S•••••••• L••left Aug 9, 2011, registered Aug 12, 2011 (3 days) · Other
- H• B•••• I••• to L•• F•••••••• L••left Sep 21, 2009, registered Sep 23, 2009 (2 days) · Other
- N••• C••••••••• left L•• F•••••••• L•• for U••• B•••••• I••••••••• I••• (registered 2023-04-25)Apr 26, 2023 · a•••••• firm change · 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