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.
E•••• M•••• H•••••••
- C•••••• C••• A•••• M••••••••• independent RIA currentsince Jan 1, 2026 · Newport Beach, Ca
- C•••••• C••• A•••• M••••••••• independent RIAJun 12, 2019 to Jun 23, 2021 · Newport Beach, Ca
- L•• F•••••••• L•• BD affiliatedOct 17, 2005 to Jun 13, 2019 · Irvine, Ca
- W•••• F•••• I••••••••• L•• unclassifiedSep 5, 2003 to Oct 17, 2005 · Santa Ana, Ca
- C••••••• I••••••••• S••••••• unclassifiedMar 7, 2003 to Sep 2, 2003 · Long Island City, Ny
- L•• F•••••••• L•• to C•••••• C••• A•••• M•••••••••left Jun 13, 2019, registered Jun 12, 2019 (-1 days) · RIA to RIA
- W•••• F•••• I••••••••• L•• to L•• F•••••••• L••left Oct 17, 2005, registered Oct 17, 2005 (0 days) · Other
- C••••••• I••••••••• S••••••• to W•••• F•••• I••••••••• L••left Sep 2, 2003, registered Sep 5, 2003 (3 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
- Independent wealth managerderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address