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.
L••• W•••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Pasadena, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• formerJun 2, 2022 to Mar 31, 2025 · Pasadena, Ca
- N•••••••• B••••• B• L•• no RAUMJan 31, 2005 to Aug 5, 2005 · New York, Ny
- U•• F•••••••• S••••••• I••• wirehouseSep 19, 2002 to Oct 15, 2003 · Newport Beach, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDSep 25, 2001 to Sep 13, 2002 · Irvine, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- N•••••••• B••••• B• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Aug 5, 2005, registered Jun 2, 2022 (6145 days) · Other
- U•• F•••••••• S••••••• I••• to N•••••••• B••••• B• L••left Oct 15, 2003, registered Jan 31, 2005 (474 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to U•• F•••••••• S••••••• I•••left Sep 13, 2002, registered Sep 19, 2002 (6 days) · Affiliated broker-dealer or bank to wirehouse
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
- National broker-dealer RIAderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address