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•••• N••••
- F•••• C•••••• A••••••• S••••••• BD affiliated currentsince Jun 9, 2026 · Cookeville, Tn
- M•••••• A•••••• N•••••• BD affiliatedFeb 10, 2025 to May 22, 2026 · Sacramento, Ca
- L•• F•••••••• L•• BD affiliatedApr 16, 2015 to Apr 10, 2025 · Fair Oaks, Ca
- C••••• A•••••• N••••••• L•• formerJan 25, 2011 to Sep 18, 2014 · Rancho Cordova, Ca
- W•••• F•••• A••••••• wirehouseMar 27, 2007 to Sep 8, 2010 · Memphis, Tn
- N•• A•••••• S•••••••• L•• formerAug 15, 2003 to Mar 20, 2007 · Louisville, Co
- O•••• F•• I••• formerApr 28, 2003 to Jun 10, 2003 · Irvine, Ca
- M•••••• A•••••• N•••••• to F•••• C•••••• A••••••• S•••••••left May 22, 2026, registered Jun 9, 2026 (18 days) · Affiliated broker-dealer or bank to another
- L•• F•••••••• L•• to M•••••• A•••••• N••••••left Apr 10, 2025, registered Feb 10, 2025 (-59 days) · Affiliated broker-dealer or bank to another
- C••••• A•••••• N••••••• L•• to L•• F•••••••• L••left Sep 18, 2014, registered Apr 16, 2015 (210 days) · Other
- W•••• F•••• A••••••• to C••••• A•••••• N••••••• L••left Sep 8, 2010, registered Jan 25, 2011 (139 days) · Other
- N•• A•••••• S•••••••• L•• to W•••• F•••• A•••••••left Mar 20, 2007, registered Mar 27, 2007 (7 days) · Other
- O•••• F•• I••• to N•• A•••••• S•••••••• L••left Jun 10, 2003, registered Aug 15, 2003 (66 days) · Other
- D•••• N•••• left M•••••• A•••••• N•••••• for F•••• C•••••• A••••••• S••••••• (registered 2026-06-09)May 22, 2026 · a•••••• firm change · fact
- D•••• N•••• left L•• F•••••••• L•• for M•••••• A•••••• N•••••• (registered 2025-02-10)Apr 10, 2025 · 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