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.
S••••• W•
- U•• F•••••••• S••••••• I••• wirehouse currentsince Apr 25, 2025 · Pasadena, Ca
- M••••• S•••••• wirehouseNov 10, 2015 to Apr 25, 2019 · Pasadena, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 10, 2003 to Nov 11, 2015 · Newport Beach, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDDec 12, 2002 to Dec 4, 2003 · Irvine, Ca
- M••••• S•••••• to U•• F•••••••• S••••••• I•••left Apr 25, 2019, registered Apr 25, 2025 (2192 days) · Wirehouse to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Nov 11, 2015, registered Nov 10, 2015 (-1 days) · Wirehouse to wirehouse · moved with a team
- A••••••••• F•••••••• S•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Dec 4, 2003, registered Dec 10, 2003 (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
- Wirehousederived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address