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.
A•••••• P••••••• S•••••
- L•• F•••••••• L•• BD affiliated currentsince May 14, 2026 · San Luis Obispo, Ca
- C•••••••• F••••••••• I••• BD affiliatedDec 14, 2022 to May 14, 2026 · San Luis Obispo, Ca
- O• I••••••••• M••••••••• C• BD affiliatedJan 6, 2015 to Dec 2, 2022 · San Luis Obispo, Ca
- V••• F•••••••• A•••••••• I••• BD affiliatedMar 1, 2012 to Dec 31, 2014 · Arroyo Grande, Ca
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedDec 7, 2010 to Feb 27, 2012 · Grover Beach, Ca
- W••••••• F•••••••• S•••••••• I••• formerNov 18, 2009 to Nov 19, 2010 · San Luis Obispo, Ca
- P••• A••••• S••••••••• L•• BD affiliatedJan 28, 2008 to Nov 19, 2009 · San Luis Obispo, Ca
- C•••••••• F••••••••• I••• to L•• F•••••••• L••left May 14, 2026, registered May 14, 2026 (0 days) · Affiliated broker-dealer or bank to another
- O• I••••••••• M••••••••• C• to C•••••••• F••••••••• I•••left Dec 2, 2022, registered Dec 14, 2022 (12 days) · Affiliated broker-dealer or bank to another
- V••• F•••••••• A•••••••• I••• to O• I••••••••• M••••••••• C•left Dec 31, 2014, registered Jan 6, 2015 (6 days) · Other
- C•••••••• I••••••••• R••••••• A•••••••• I••• to V••• F•••••••• A•••••••• I•••left Feb 27, 2012, registered Mar 1, 2012 (3 days) · Other
- W••••••• F•••••••• S•••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Nov 19, 2010, registered Dec 7, 2010 (18 days) · Other
- P••• A••••• S••••••••• L•• to W••••••• F•••••••• S•••••••• I•••left Nov 19, 2009, registered Nov 18, 2009 (-1 days) · Other
- A•••••• P••••••• S••••• left C•••••••• F••••••••• I••• for L•• F•••••••• L•• (registered 2026-05-14)May 14, 2026 · Advisor changed firm · fact
- A•••••• P••••••• S••••• left O• I••••••••• M••••••••• C• for C•••••••• F••••••••• I••• (registered 2022-12-14)Dec 2, 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address