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.
A••••• B••••
- L•• F•••••••• L•• BD affiliated currentsince Oct 7, 2025 · Palm Desert, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedMar 22, 2022 to Aug 6, 2025 · Fountain Valley, Ca
- W•••• F•••• A••••••• wirehouseMar 10, 2021 to Mar 3, 2022 · San Diego, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 15, 2013 to Aug 20, 2020 · Portland, Or
- L•• F•••••••• L•• BD affiliatedJan 22, 2013 to Sep 16, 2013 · Vancouver, Wa
- C•••••• S••••• • C••• I••• national BDFeb 10, 2012 to Dec 4, 2012 · Seattle, Wa
- C•••••••• G••••• M•••••• I••• to L•• F•••••••• L••left Aug 6, 2025, registered Oct 7, 2025 (62 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to C•••••••• G••••• M•••••• I•••left Mar 3, 2022, registered Mar 22, 2022 (19 days) · Wirehouse to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Aug 20, 2020, registered Mar 10, 2021 (202 days) · Wirehouse to wirehouse
- L•• F•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 16, 2013, registered Oct 15, 2013 (29 days) · Other
- C•••••• S••••• • C••• I••• to L•• F•••••••• L••left Dec 4, 2012, registered Jan 22, 2013 (49 days) · Other
- A••••• B•••• left C•••••••• G••••• M•••••• I••• for L•• F•••••••• L•• (registered 2025-10-07)Aug 6, 2025 · Advisor changed firm · fact
- A••••• B•••• left W•••• F•••• A••••••• for C•••••••• G••••• M•••••• I••• (registered 2022-03-22)Mar 3, 2022 · 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