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••••• S•••••••
- A•••••••• C•••••• W••••• M••••••••• L•• independent RIA currentsince Aug 22, 2025 · Downey, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 8, 2012 to Sep 18, 2025 · Downey, Ca
- U••• B•••••• I••••••••• I••• formerFeb 27, 2012 to Feb 29, 2012 · Norwalk, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A•••••••• C•••••• W••••• M••••••••• L••left Sep 18, 2025, registered Aug 22, 2025 (-27 days) · Wirehouse to independent RIA
- U••• B•••••• I••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 29, 2012, registered Mar 8, 2012 (8 days) · Other
- J••••• S••••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for A•••••••• C•••••• W••••• M••••••••• L•• (registered 2025-08-22)Sep 18, 2025 · 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
- Independent wealth managerderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address