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••••• T•••••• L••
- U••• B•••••• A•••••••• L•• BD affiliated currentsince Feb 13, 2026 · Irvine, Ca
- U••• B•••••• I••••••••• I••• formerJun 2, 2023 to Feb 13, 2026 · Irvine, Ca
- U••• B•••••• A•••••••• L•• BD affiliatedApr 8, 2021 to Jun 1, 2023 · Huntington Beach, Ca
- H••• S••••••••• •••• I••• BD affiliatedOct 26, 2009 to Apr 19, 2021 · Rowland Heights, Ca
- W•••• F•••• A••••••• wirehouseDec 10, 2007 to Oct 13, 2009 · Irvine, Ca
- W•••• F•••• I••••••••• L•• unclassifiedJun 8, 2004 to Nov 19, 2007 · Fullerton, Ca
- W•••• F•••• I••••••••• L•• unclassifiedOct 12, 2001 to Oct 11, 2002 · Ladera Ranch, 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 Jun 1, 2023, registered Jun 2, 2023 (1 days) · Affiliated broker-dealer or bank to another · moved with a team
- H••• S••••••••• •••• I••• to U••• B•••••• A•••••••• L••left Apr 19, 2021, registered Apr 8, 2021 (-11 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to H••• S••••••••• •••• I•••left Oct 13, 2009, registered Oct 26, 2009 (13 days) · Other
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Nov 19, 2007, registered Dec 10, 2007 (21 days) · Other
- J••••• T•••••• L•• left U••• B•••••• A•••••••• L•• for U••• B•••••• I••••••••• I••• (registered 2023-06-02)Jun 1, 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
- 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