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.
D•••• W••••• M•••••
- C•••••• S••••• • C••• I••• national BD currentsince Jan 2, 2026 · Los Angeles, Ca
- S•••••••• A••••••• L•• national BDMar 31, 2025 to Dec 19, 2025 · Los Angeles, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• formerDec 5, 2024 to Mar 31, 2025 · Los Angeles, Ca
- S•••••• • C••••••• L•• independent RIAFeb 7, 2021 to Nov 13, 2023 · Los Angeles, Ca
- I••••••• C•••••• A•••• M••••••••• L•• formerMar 25, 2019 to Aug 11, 2020 · Palm Beach Gardens, Fl
- S•••••••• A••••••• L•• to C•••••• S••••• • C••• I•••left Dec 19, 2025, registered Jan 2, 2026 (14 days) · Affiliated broker-dealer or bank to another
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- S•••••• • C••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Nov 13, 2023, registered Dec 5, 2024 (388 days) · RIA to affiliated broker-dealer or bank
- I••••••• C•••••• A•••• M••••••••• L•• to S•••••• • C••••••• L••left Aug 11, 2020, registered Feb 7, 2021 (180 days) · Other
- D•••• W••••• M••••• left S•••••••• A••••••• L•• for C•••••• S••••• • C••• I••• (registered 2026-01-02)Dec 19, 2025 · Advisor changed firm · fact
- D•••• W••••• M••••• left S•••••• • C••••••• L•• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2024-12-05)Nov 13, 2023 · 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
- National broker-dealer RIAderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address