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•••••• T••••• A•••••••
- L•• F•••••••• L•• BD affiliated currentsince Jun 26, 2025 · Anaheim, Ca
- C•••••• S••••• • C••• I••• national BDJan 26, 2022 to Apr 5, 2025 · Irvine, Ca
- T• A••••••••• I••• formerFeb 27, 2018 to Oct 14, 2022 · Huntington Beach, Ca
- T• A••••••••• I••••••••• M••••••••• L•• formerFeb 26, 2018 to Sep 7, 2023 · Omaha, Ne
- S•••••••• I••••••••• M••••••••• formerAug 31, 2016 to Feb 26, 2018 · Saint Louis, Mo
- U••• B•••••• A•••••••• L•• BD affiliatedAug 12, 2011 to Jan 21, 2014 · Los Angeles, Ca
- C•••••• S••••• • C••• I••• to L•• F•••••••• L••left Apr 5, 2025, registered Jun 26, 2025 (82 days) · Affiliated broker-dealer or bank to another · moved with a team
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Sep 7, 2023, registered Feb 27, 2018 (-2018 days) · channel change inside one enterprise, not a move · moved with a team
- T• A••••••••• I••• to C•••••• S••••• • C••• I•••left Oct 14, 2022, registered Jan 26, 2022 (-261 days) · channel change inside one enterprise, not a move · moved with a team
- S•••••••• I••••••••• M••••••••• to T• A••••••••• I••••••••• M••••••••• L••left Feb 26, 2018, registered Feb 26, 2018 (0 days) · corporate re-registration, not a move
- U••• B•••••• A•••••••• L•• to S•••••••• I••••••••• M•••••••••left Jan 21, 2014, registered Aug 31, 2016 (953 days) · Other
- S•••••• T••••• A••••••• left C•••••• S••••• • C••• I••• for L•• F•••••••• L•• (registered 2025-06-26)Apr 5, 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address