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•••••••• T••••••• R•••••
- L•• F•••••••• L•• BD affiliated currentsince May 8, 2025 · San Diego, Ca
- R•• C•••••• M••••••• L•• national BDAug 17, 2012 to May 15, 2025 · La Jolla, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Aug 21, 2012 · San Diego, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedJan 9, 2006 to Oct 23, 2009 · San Diego, Ca
- M••••• S•••••• D• I••• unclassifiedJul 31, 2003 to Jan 9, 2006 · La Mesa, Ca
- R•• C•••••• M••••••• L•• to L•• F•••••••• L••left May 15, 2025, registered May 8, 2025 (-7 days) · Affiliated broker-dealer or bank to another · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•• C•••••• M••••••• L••left Aug 21, 2012, registered Aug 17, 2012 (-4 days) · Wirehouse to affiliated broker-dealer or bank
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Jan 9, 2006, registered Jan 9, 2006 (0 days) · Other
- C•••••••• T••••••• R••••• left R•• C•••••• M••••••• L•• for L•• F•••••••• L•• (registered 2025-05-08)May 15, 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address