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.
T••••• L••• D•••••
- A••••• W••••• independent RIA currentsince Mar 31, 2026 · West Hartford, Ct
- C• T••••• W••••• M••••••••• formerOct 13, 2023 to May 30, 2025 · Costa Mesa, Ca
- L•• F•••••••• L•• BD affiliatedJan 28, 2022 to Jan 19, 2023 · Huntington Beach, Ca
- S••••••••• A•••••• A•••••••• I••• formerOct 8, 2020 to Feb 3, 2022 · Huntington Beach, Ca
- T••••••• I••••••••• M••••••••• I••• BD affiliatedDec 1, 2015 to Oct 7, 2020 · Huntington Beach, Ca
- C• T••••• W••••• M••••••••• to A••••• W•••••left May 30, 2025, registered Mar 31, 2026 (305 days) · Other
- L•• F•••••••• L•• to C• T••••• W••••• M•••••••••left Jan 19, 2023, registered Oct 13, 2023 (267 days) · Other
- S••••••••• A•••••• A•••••••• I••• to L•• F•••••••• L••left Feb 3, 2022, registered Jan 28, 2022 (-6 days) · Affiliated broker-dealer or bank to another · moved with a team
- T••••••• I••••••••• M••••••••• I••• to S••••••••• A•••••• A•••••••• I•••left Oct 7, 2020, registered Oct 8, 2020 (1 days) · Affiliated broker-dealer or bank to another
- T••••• L••• D••••• left C• T••••• W••••• M••••••••• for A••••• W••••• (registered 2026-03-31)May 30, 2025 · Advisor changed firm · fact
- T••••• L••• D••••• left L•• F•••••••• L•• for C• T••••• W••••• M••••••••• (registered 2023-10-13)Jan 19, 2023 · Advisor changed firm · fact
- T••••• L••• D••••• left S••••••••• A•••••• A•••••••• I••• for L•• F•••••••• L•• (registered 2022-01-28)Feb 3, 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
- Independent wealth managerderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address