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••••• L••••• K••••••
- C••••• W•••••• L•• no RAUM currentsince Sep 8, 2026 · La Jolla, Ca
- O•••• A••••••• S•••••••• L•• BD affiliated currentsince Nov 8, 2024 · San Diego, Ca
- A•••• P•••• A••••••• formerJan 12, 2015 to Nov 8, 2024 · San Diego, Ca
- S••••••••• A•••••• A•••••••• I••• formerJan 12, 2015 to Dec 28, 2015 · San Diego, Ca
- T•• R••••••••• G••••• L•• formerDec 3, 2008 to Jan 12, 2015 · San Diego, Ca
- S•• A•••••••• I••• formerSep 23, 2008 to Dec 2, 2008 · San Diego, Ca
- C••••••• I••••••••• S••••••• unclassifiedOct 16, 2003 to Jan 12, 2006 · Poway, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 11, 2003 to Oct 13, 2003 · Rancho Santa Fe, Ca
- A•••• P•••• A••••••• to O•••• A••••••• S•••••••• L••left Nov 8, 2024, registered Nov 8, 2024 (0 days) · corporate re-registration, not a move
- S••••••••• A•••••• A•••••••• I••• to A•••• P•••• A•••••••left Dec 28, 2015, registered Jan 12, 2015 (-350 days) · channel change inside one enterprise, not a move · moved with a team
- T•• R••••••••• G••••• L•• to S••••••••• A•••••• A•••••••• I•••left Jan 12, 2015, registered Jan 12, 2015 (0 days) · Other · moved with a team
- S•• A•••••••• I••• to T•• R••••••••• G••••• L••left Dec 2, 2008, registered Dec 3, 2008 (1 days) · Other
- C••••••• I••••••••• S••••••• to S•• A•••••••• I•••left Jan 12, 2006, registered Sep 23, 2008 (985 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••••••• I••••••••• S•••••••left Oct 13, 2003, registered Oct 16, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address