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••••• E• P•••••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Sep 5, 2025 · Roanoke, Tx
- A•••••• A••••••• S••••••• formerMar 23, 2023 to Sep 5, 2025 · Roanoke, Tx
- I••••••••• F•••••••• G••••• L•• BD affiliatedOct 25, 2021 to Mar 22, 2023 · Liberty Corner, Nj
- K•••••••• W••••• A•••••••• L•• BD affiliatedAug 21, 2018 to Oct 1, 2019 · Roanoke, Tx
- L•• F•••••••• L•• BD affiliatedOct 18, 2010 to Aug 22, 2016 · San Diego, Ca
- D••••• i••••••••• wealthFeb 22, 2007 to Jan 22, 2008 · San Diego, Ca
- M••••• S•••••• D• I••• unclassifiedMar 21, 2005 to Jul 27, 2005 · Las Vegas, Nv
- U•• F•••••••• S••••••• I••• wirehouseMar 1, 2002 to Apr 22, 2004 · Newport Beach, Ca
- A•••••• A••••••• S••••••• to C••••• I••••••••• A••••••• L••left Sep 5, 2025, registered Sep 5, 2025 (0 days) · corporate re-registration, not a move
- I••••••••• F•••••••• G••••• L•• to A•••••• A••••••• S•••••••left Mar 22, 2023, registered Mar 23, 2023 (1 days) · Affiliated broker-dealer or bank to another · moved with a team
- K•••••••• W••••• A•••••••• L•• to I••••••••• F•••••••• G••••• L••left Oct 1, 2019, registered Oct 25, 2021 (755 days) · RIA to affiliated broker-dealer or bank
- L•• F•••••••• L•• to K•••••••• W••••• A•••••••• L••left Aug 22, 2016, registered Aug 21, 2018 (729 days) · Other
- D••••• to L•• F•••••••• L••left Jan 22, 2008, registered Oct 18, 2010 (1000 days) · Other
- M••••• S•••••• D• I••• to D•••••left Jul 27, 2005, registered Feb 22, 2007 (575 days) · Other
- U•• F•••••••• S••••••• I••• to M••••• S•••••• D• I•••left Apr 22, 2004, registered Mar 21, 2005 (333 days) · Other
- A••••• E• P••••••• left I••••••••• F•••••••• G••••• L•• for A•••••• A••••••• S••••••• (registered 2023-03-23)Mar 22, 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address