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.
D•••••• G••
- M••••• S•••••• wirehouse currentsince Jul 2, 2025 · Irvine, Ca
- J••• M••••• S••••••••• L•• wirehouseMay 1, 2014 to Jul 3, 2025 · Irvine, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedOct 31, 2011 to May 2, 2014 · Diamond Bar, Ca
- S•••••••• R•••••••• C•••••• M••••••••• L•• independent RIAMar 31, 2011 to Jul 27, 2011 · Newport Beach, Ca
- S••••••• I••••••••• I••• formerMar 11, 2009 to Feb 7, 2011 · Irvine, Ca
- M•• I•••••••• S•••••••• L•• BD affiliatedMay 4, 2006 to Mar 5, 2009 · Irvine, Ca
- J••• M••••• S••••••••• L•• to M••••• S••••••left Jul 3, 2025, registered Jul 2, 2025 (-1 days) · Wirehouse to wirehouse · moved with a team
- C•••••••• G••••• M•••••• I••• to J••• M••••• S••••••••• L••left May 2, 2014, registered May 1, 2014 (-1 days) · Other
- S•••••••• R•••••••• C•••••• M••••••••• L•• to C•••••••• G••••• M•••••• I•••left Jul 27, 2011, registered Oct 31, 2011 (96 days) · Other
- S••••••• I••••••••• I••• to S•••••••• R•••••••• C•••••• M••••••••• L••left Feb 7, 2011, registered Mar 31, 2011 (52 days) · Other
- M•• I•••••••• S•••••••• L•• to S••••••• I••••••••• I•••left Mar 5, 2009, registered Mar 11, 2009 (6 days) · Other
- D•••••• G•• left J••• M••••• S••••••••• L•• for M••••• S•••••• (registered 2025-07-02)Jul 3, 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
- Wirehousederived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address