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•• H•••• W•••••••
- L•• F•••••••• L•• BD affiliated currentsince Jan 1, 2025 · Olympia, Wa
- I••••••••• F•••••••• G••••• L•• BD affiliatedMar 7, 2023 to Dec 7, 2023 · San Diego, Ca
- T••••••• A•••••• N••••••• L•• BD affiliatedApr 17, 2020 to Dec 16, 2021 · Minneapolis, Mn
- L•• F•••••••• L•• BD affiliatedJan 5, 2016 to Apr 27, 2020 · San Diego, Ca
- L•• F•••••••• L•• BD affiliatedFeb 23, 2015 to Oct 26, 2015 · Peoria, Az
- C••• F•••••••• S•••••••• L••• formerMar 6, 2006 to Feb 25, 2015 · San Diego, Ca
- L•• F•••••••• L•• BD affiliatedFeb 28, 2001 to Aug 19, 2005 · San Diego, Ca
- I••••••••• F•••••••• G••••• L•• to L•• F•••••••• L••left Dec 7, 2023, registered Jan 1, 2025 (391 days) · Affiliated broker-dealer or bank to another
- T••••••• A•••••• N••••••• L•• to I••••••••• F•••••••• G••••• L••left Dec 16, 2021, registered Mar 7, 2023 (446 days) · Affiliated broker-dealer or bank to another
- L•• F•••••••• L•• to T••••••• A•••••• N••••••• L••left Apr 27, 2020, registered Apr 17, 2020 (-10 days) · Affiliated broker-dealer or bank to independent RIA
- C••• F•••••••• S•••••••• L••• to L•• F•••••••• L••left Feb 25, 2015, registered Feb 23, 2015 (-2 days) · Other
- L•• F•••••••• L•• to C••• F•••••••• S•••••••• L•••left Aug 19, 2005, registered Mar 6, 2006 (199 days) · Other
- D•• H•••• W••••••• left I••••••••• F•••••••• G••••• L•• for L•• F•••••••• L•• (registered 2025-01-01)Dec 7, 2023 · a•••••• firm change · 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