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.
J••• E• K••••
- W•• B•••••••• S•••••••• I••• BD affiliated currentsince Jan 5, 2026 · Cerritos, Ca
- P•••• S••••••••• L•• no RAUMMay 2, 2016 to Jul 16, 2018 · Orange, Ca
- L•••••• I••••••••• independent RIAJul 23, 2013 to Sep 29, 2014 · Woodland Hills, Ca
- C•••••• A••••••• BD affiliatedJul 23, 2013 to Sep 29, 2014 · Woodland Hills, Ca
- W••••••• F•••••••• S•••••••• I••• formerSep 15, 2009 to Jul 28, 2011 · Brea, Ca
- P•••• S••••••••• L•• no RAUMMay 16, 2006 to Sep 14, 2009 · Marlton, Nj
- E•••••••• A•••••••• L•• national BDApr 9, 2002 to Jan 28, 2003 · Los Angeles, Ca
- P•••• S••••••••• L•• to W•• B•••••••• S•••••••• I•••left Jul 16, 2018, registered Jan 5, 2026 (2730 days) · Affiliated broker-dealer or bank to another
- C•••••• A••••••• to L•••••• I•••••••••left Sep 29, 2014, registered Jul 23, 2013 (-433 days) · Other
- L•••••• I••••••••• to P•••• S••••••••• L••left Sep 29, 2014, registered May 2, 2016 (581 days) · Other
- W••••••• F•••••••• S•••••••• I••• to C•••••• A•••••••left Jul 28, 2011, registered Jul 23, 2013 (726 days) · Other
- P•••• S••••••••• L•• to W••••••• F•••••••• S•••••••• I•••left Sep 14, 2009, registered Sep 15, 2009 (1 days) · Other
- E•••••••• A•••••••• L•• to P•••• S••••••••• L••left Jan 28, 2003, registered May 16, 2006 (1204 days) · Other
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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address