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••••• A••••••• A•••••
- L•• F•••••••• L•• BD affiliated currentsince May 15, 2025 · Huntington Beach, Ca
- C••• F•••••••• S•••••••• L••• formerOct 4, 2022 to May 15, 2025 · Laguna Hills, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedApr 21, 2017 to Oct 6, 2022 · Sherman Oaks, Ca
- W•••• F•••• A••••••• wirehouseApr 28, 2014 to Apr 26, 2017 · Beverly Hills, Ca
- F•••• T•••• S••••••••• I••• BD affiliatedOct 13, 2009 to May 2, 2014 · Countryside, Il
- U••• B•••••• I••••••••• I••• formerMay 21, 2003 to Sep 29, 2009 · Princeton, Wi
- U•• F•••••••• S••••••• I••• wirehouseMay 22, 2001 to Oct 1, 2002 · Schaumburg, Il
- C••• F•••••••• S•••••••• L••• to L•• F•••••••• L••left May 15, 2025, registered May 15, 2025 (0 days) · corporate re-registration, not a move
- C•••••••• G••••• M•••••• I••• to C••• F•••••••• S•••••••• L•••left Oct 6, 2022, registered Oct 4, 2022 (-2 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to C•••••••• G••••• M•••••• I•••left Apr 26, 2017, registered Apr 21, 2017 (-5 days) · Other · moved with a team
- F•••• T•••• S••••••••• I••• to W•••• F•••• A•••••••left May 2, 2014, registered Apr 28, 2014 (-4 days) · Other
- U••• B•••••• I••••••••• I••• to F•••• T•••• S••••••••• I•••left Sep 29, 2009, registered Oct 13, 2009 (14 days) · Other
- U•• F•••••••• S••••••• I••• to U••• B•••••• I••••••••• I•••left Oct 1, 2002, registered May 21, 2003 (232 days) · Other
- H••••• A••••••• A••••• left C•••••••• G••••• M•••••• I••• for C••• F•••••••• S•••••••• L••• (registered 2022-10-04)Oct 6, 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address