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••• M•••••• F•••••••
- U••• B•••••• A•••••••• L•• BD affiliated currentsince Feb 13, 2026 · Fallbrook, Ca
- U••• B•••••• I••••••••• I••• formerSep 20, 2019 to Feb 13, 2026 · Encinitas, Ca
- U••• B•••••• A•••••••• L•• BD affiliatedMay 18, 2016 to Sep 20, 2019 · Carlsbad, Ca
- J••• M••••• S••••••••• L•• wirehouseAug 12, 2013 to May 19, 2016 · San Diego, Ca
- A•••• G••••• I••••••••• unclassifiedApr 2, 2013 to Jul 15, 2013 · San Diego, Ca
- A•••• G••••• I••••••••• unclassifiedOct 22, 2010 to Sep 14, 2012 · San Diego, Ca
- T• A••••••••• I••• formerMay 13, 2008 to Sep 18, 2009 · San Diego, Ca
- T• A••••••••• I••••••••• M••••••••• L•• formerMay 13, 2008 to Sep 18, 2009 · San Diego, Ca
- L•• F•••••••• L•• BD affiliatedApr 1, 2008 to May 12, 2008 · San Diego, Ca
- U••• B•••••• I••••••••• I••• to U••• B•••••• A•••••••• L••left Feb 13, 2026, registered Feb 13, 2026 (0 days) · corporate re-registration, not a move
- U••• B•••••• A•••••••• L•• to U••• B•••••• I••••••••• I•••left Sep 20, 2019, registered Sep 20, 2019 (0 days) · Affiliated broker-dealer or bank to another
- J••• M••••• S••••••••• L•• to U••• B•••••• A•••••••• L••left May 19, 2016, registered May 18, 2016 (-1 days) · Other
- A•••• G••••• I••••••••• to J••• M••••• S••••••••• L••left Jul 15, 2013, registered Aug 12, 2013 (28 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Sep 18, 2009, registered May 13, 2008 (-493 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Sep 18, 2009, registered May 13, 2008 (-493 days) · Other
- L•• F•••••••• L•• to T• A••••••••• I••••••••• M••••••••• L••left May 12, 2008, registered May 13, 2008 (1 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address