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.
R••••• A•••••• N••••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Mar 10, 2026 · Irvine, Ca
- D•••••• L••• S••••• L•• formerJan 5, 2026 to Mar 9, 2026 · Rome, Ga
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedNov 24, 2025 to Mar 20, 2026 · Brea, Ca
- D•••••• L••• S••••• L•• formerNov 1, 2017 to Dec 31, 2025 · Redondo Beach, Ca
- B• R•••• W••••• A•••••••• I••• BD affiliatedApr 1, 2009 to Feb 7, 2017 · Torrance, Ca
- L•• F•••••••• L•• BD affiliatedMay 30, 2008 to Mar 31, 2009 · Long Beach, Ca
- S•••••••• F••••••••• I••• formerJul 10, 2007 to Jun 2, 2008 · Phoenix, Az
- I••••••••• C•••••• M••••••••• unclassifiedApr 19, 2006 to Aug 15, 2008 · Santa Monica, Ca
- C•••••••• I••••••••• R••••••• A•••••••• I••• to D•••••• L••• S••••• L••left Mar 20, 2026, registered Jan 5, 2026 (-74 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- D•••••• L••• S••••• L•• to C••••• I••••••••• A••••••• L••left Mar 9, 2026, registered Mar 10, 2026 (1 days) · RIA to affiliated broker-dealer or bank · moved with a team
- D•••••• L••• S••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Dec 31, 2025, registered Nov 24, 2025 (-37 days) · corporate re-registration, not a move
- B• R•••• W••••• A•••••••• I••• to D•••••• L••• S••••• L••left Feb 7, 2017, registered Nov 1, 2017 (267 days) · Other
- L•• F•••••••• L•• to B• R•••• W••••• A•••••••• I•••left Mar 31, 2009, registered Apr 1, 2009 (1 days) · Other
- I••••••••• C•••••• M••••••••• to S•••••••• F••••••••• I•••left Aug 15, 2008, registered Jul 10, 2007 (-402 days) · Other
- S•••••••• F••••••••• I••• to L•• F•••••••• L••left Jun 2, 2008, registered May 30, 2008 (-3 days) · Other
- R••••• A•••••• N•••••• left C•••••••• I••••••••• R••••••• A•••••••• I••• for D•••••• L••• S••••• L•• (registered 2026-01-05)Mar 20, 2026 · Advisor changed firm · fact
- R••••• A•••••• N•••••• left D•••••• L••• S••••• L•• for C••••• I••••••••• A••••••• L•• (registered 2026-03-10)Mar 9, 2026 · 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