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.
S•••• W•••••• B•••••
- S••••• I••••••••• M••••••••• L•• independent RIA currentsince Jan 20, 2026 · Tucson, Az
- O•••• W•••••• I••• BD affiliatedJun 14, 2024 to Dec 18, 2025 · Los Angeles, Ca
- S••••••••• A•••••• A•••••••• I••• formerJan 23, 2023 to Jun 14, 2024 · Los Angeles, Ca
- C•••••• C••••• G••••• I••• no RAUMOct 25, 2013 to Feb 10, 2017 · Irvine, Ca
- L•• F•••••••• L•• BD affiliatedJul 3, 2013 to Oct 22, 2013 · Newport Beach, Ca
- B•••••• F•••••••• S••••••• G•••• independent RIAJan 18, 2013 to Mar 11, 2013 · Irvine, Ca
- P••••••••• S••••••••• C••••••••• independent RIAOct 13, 2006 to Jul 24, 2008 · Dana Point, Ca
- P••••••••• S••••••••• C••••••••• independent RIAMay 3, 2005 to Mar 14, 2006 · Carpinteria, Ca
- O•••• W•••••• I••• to S••••• I••••••••• M••••••••• L••left Dec 18, 2025, registered Jan 20, 2026 (33 days) · Affiliated broker-dealer or bank to independent RIA
- S••••••••• A•••••• A•••••••• I••• to O•••• W•••••• I•••left Jun 14, 2024, registered Jun 14, 2024 (0 days) · corporate re-registration, not a move
- C•••••• C••••• G••••• I••• to S••••••••• A•••••• A•••••••• I•••left Feb 10, 2017, registered Jan 23, 2023 (2173 days) · Other
- L•• F•••••••• L•• to C•••••• C••••• G••••• I•••left Oct 22, 2013, registered Oct 25, 2013 (3 days) · Other
- B•••••• F•••••••• S••••••• G•••• to L•• F•••••••• L••left Mar 11, 2013, registered Jul 3, 2013 (114 days) · Other
- P••••••••• S••••••••• C••••••••• to B•••••• F•••••••• S••••••• G••••left Jul 24, 2008, registered Jan 18, 2013 (1639 days) · Other
- S•••• W•••••• B••••• left O•••• W•••••• I••• for S••••• I••••••••• M••••••••• L•• (registered 2026-01-20)Dec 18, 2025 · 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
- Independent wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address