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••••• R• M••••••
- T••••••• I••••••••• M••••••••• I••• BD affiliated currentsince Dec 8, 2025 · San Diego, Ca
- C•••••• S••••• • C••• I••• national BDAug 2, 2021 to Apr 9, 2025 · Phoenix, Az
- U••• I••••••••• S••••••• C•••••• no RAUMJan 8, 2018 to Jul 13, 2021 · San Antonio, Tx
- U••• F•••••••• P••••••• S••••••• formerMar 21, 2007 to Jan 8, 2018 · Phoenix, Az
- W•••• F•••• I••••••••• L•• unclassifiedAug 1, 2006 to Feb 12, 2007 · Phoenix, Az
- C•••••• S••••• • C••• I••• to T••••••• I••••••••• M••••••••• I•••left Apr 9, 2025, registered Dec 8, 2025 (243 days) · Affiliated broker-dealer or bank to another
- U••• I••••••••• S••••••• C•••••• to C•••••• S••••• • C••• I•••left Jul 13, 2021, registered Aug 2, 2021 (20 days) · Other
- U••• F•••••••• P••••••• S••••••• to U••• I••••••••• S••••••• C••••••left Jan 8, 2018, registered Jan 8, 2018 (0 days) · corporate re-registration, not a move
- W•••• F•••• I••••••••• L•• to U••• F•••••••• P••••••• S•••••••left Feb 12, 2007, registered Mar 21, 2007 (37 days) · Other
- D••••• R• M•••••• left C•••••• S••••• • C••• I••• for T••••••• I••••••••• M••••••••• I••• (registered 2025-12-08)Apr 9, 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
- 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