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.
R••••• W• D••••
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Jun 17, 2025 · Oxnard, Ca
- O••••••••• • C•• I••• BD affiliatedAug 4, 2005 to Jun 20, 2025 · Los Angeles, Ca
- O••••••••• • C•• I••• to S•••••• N••••••• • C••••••• I•••••••••left Jun 20, 2025, registered Jun 17, 2025 (-3 days) · Affiliated broker-dealer or bank to another · moved with a team
- R••••• W• D•••• left O••••••••• • C•• I••• for S•••••• N••••••• • C••••••• I••••••••• (registered 2025-06-17)Jun 20, 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
- National broker-dealer RIAderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address