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.
C•••••• I•• K•••••
- C•••••• K••••• R••••••••• I••••••••• A•••••• L•• state r••••••••• currentsince Jan 2, 2026 · Apopka, Fl
- A•••• W••••• M••••••••• G••••• L•• formerDec 2, 2015 to Jul 24, 2020 · Irvine, Ca
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedNov 8, 2011 to Dec 7, 2015 · Santa Ana, Ca
- T•• E••••• M••••••••• G••••• I••• unclassifiedMar 16, 2009 to Nov 6, 2009 · Valencia, Ca
- L•• F•••••••• L•• BD affiliatedAug 30, 2006 to Nov 17, 2011 · Tustin, Ca
- N••• F•••••••• G••••• I••• formerFeb 2, 2005 to Sep 6, 2006 · Tustin, Ca
- E•••••••• A•••••••• L•• national BDDec 4, 2002 to Feb 15, 2005 · Irvine , Ca
- A•••• W••••• M••••••••• G••••• L•• to C•••••• K••••• R••••••••• I••••••••• A•••••• L••left Jul 24, 2020, registered Jan 2, 2026 (1988 days) · Other
- C•••••••• I••••••••• R••••••• A•••••••• I••• to A•••• W••••• M••••••••• G••••• L••left Dec 7, 2015, registered Dec 2, 2015 (-5 days) · Other
- L•• F•••••••• L•• to T•• E••••• M••••••••• G••••• I•••left Nov 17, 2011, registered Mar 16, 2009 (-976 days) · Other
- T•• E••••• M••••••••• G••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Nov 6, 2009, registered Nov 8, 2011 (732 days) · Other
- N••• F•••••••• G••••• I••• to L•• F•••••••• L••left Sep 6, 2006, registered Aug 30, 2006 (-7 days) · Other
- E•••••••• A•••••••• L•• to N••• F•••••••• G••••• I•••left Feb 15, 2005, registered Feb 2, 2005 (-13 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
- STATE R•••••••••derived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address