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.
C••••• E• H•••••
- L•• F•••••••• L•• BD affiliated currentsince May 1, 2025 · Santa Ana, Ca
- G•••• P•••• A•••••••• L•• formerApr 1, 2021 to May 1, 2025 · Rockville, Md
- H• B•••• I••• formerApr 28, 2015 to Apr 1, 2021 · Tustin, Ca
- W•••••• • R••• formerJul 31, 2013 to Jan 9, 2015 · Irvine, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 27, 2012 to Mar 22, 2013 · Newport Beach, Ca
- H• B•••• I••• formerJul 6, 2011 to Feb 7, 2012 · Laguna Hills, Ca
- W••••••• F•••••••• S•••••••• I••• formerJan 5, 2011 to Jun 2, 2011 · Newport Beach, Ca
- G•••• P•••• A•••••••• L•• to L•• F•••••••• L••left May 1, 2025, registered May 1, 2025 (0 days) · corporate re-registration, not a move
- H• B•••• I••• to G•••• P•••• A•••••••• L••left Apr 1, 2021, registered Apr 1, 2021 (0 days) · corporate re-registration, not a move
- W•••••• • R••• to H• B•••• I•••left Jan 9, 2015, registered Apr 28, 2015 (109 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••••• • R•••left Mar 22, 2013, registered Jul 31, 2013 (131 days) · Other
- H• B•••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 7, 2012, registered Feb 27, 2012 (20 days) · Other
- W••••••• F•••••••• S•••••••• I••• to H• B•••• I•••left Jun 2, 2011, registered Jul 6, 2011 (34 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
- 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