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.
Y•••• S•• K••
- A•••••• F••••••••• L•• state registered currentsince Jan 1, 2026 · Ventura, Ca
- A•••• I••••••••• G•••• independent RIAMay 25, 2023 to Oct 31, 2024 · Montrose, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDAug 3, 2021 to Feb 22, 2023 · Los Angeles, Ca
- C••• F•••••••• S•••••••• L••• formerNov 4, 2016 to Aug 2, 2021 · Los Angeles, Ca
- W••••• F•••••••• S•••••••• L•• formerAug 9, 2013 to Nov 1, 2016 · Glendale, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 21, 2011 to Sep 6, 2012 · Los Angeles, Ca
- A•••• I••••••••• G•••• to A•••••• F••••••••• L••left Oct 31, 2024, registered Jan 1, 2026 (427 days) · RIA to a state-registered adviser
- A••••••••• F•••••••• S•••••••• L•• to A•••• I••••••••• G••••left Feb 22, 2023, registered May 25, 2023 (92 days) · Affiliated broker-dealer or bank to independent RIA
- C••• F•••••••• S•••••••• L••• to A••••••••• F•••••••• S•••••••• L••left Aug 2, 2021, registered Aug 3, 2021 (1 days) · Affiliated broker-dealer or bank to another · moved with a team
- W••••• F•••••••• S•••••••• L•• to C••• F•••••••• S•••••••• L•••left Nov 1, 2016, registered Nov 4, 2016 (3 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W••••• F•••••••• S•••••••• L••left Sep 6, 2012, registered Aug 9, 2013 (337 days) · Wirehouse to independent RIA
- Y•••• S•• K•• left A•••• I••••••••• G•••• for A•••••• F••••••••• L•• (registered 2026-01-01)Oct 31, 2024 · Advisor changed firm · fact
- Y•••• S•• K•• left A••••••••• F•••••••• S•••••••• L•• for A•••• I••••••••• G•••• (registered 2023-05-25)Feb 22, 2023 · 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
- STATE REGISTEREDderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address