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••••• J••• P•••••••••
- T•• B•••••• G•••• W••••• A•••••••• L•• other currentsince Jun 25, 2025 · Irvine, Ca
- L•• F•••••••• L•• BD affiliatedMar 13, 2015 to Dec 22, 2021 · San Diego, Ca
- W•••• F•••• A••••••• wirehouseApr 20, 2011 to Jan 27, 2015 · Irvine, Ca
- E••••• J•••• national BDJul 7, 2009 to May 19, 2010 · Ontario, Ca
- V•••• F•••••••• A•••••••• I••• BD affiliatedFeb 9, 2009 to Jul 8, 2009 · Woodland Hills, Ca
- L•• F•••••••• L•• to T•• B•••••• G•••• W••••• A•••••••• L••left Dec 22, 2021, registered Jun 25, 2025 (1281 days) · Other
- W•••• F•••• A••••••• to L•• F•••••••• L••left Jan 27, 2015, registered Mar 13, 2015 (45 days) · Other
- E••••• J•••• to W•••• F•••• A•••••••left May 19, 2010, registered Apr 20, 2011 (336 days) · Affiliated broker-dealer or bank to wirehouse
- V•••• F•••••••• A•••••••• I••• to E••••• J••••left Jul 8, 2009, registered Jul 7, 2009 (-1 days) · Other
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
- Other adviserderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address