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.
T•••• P•••• N•••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Irvine, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• formerJan 28, 2021 to Mar 31, 2025 · Torrance, Ca
- A•••••••• F•••• M••••••••• L•• asset managerApr 15, 2005 to Oct 12, 2017 · San Francisco, Ca
- A• G• E•••••• • S•••• I••• unclassifiedSep 22, 2003 to Jul 28, 2004 · Redwood City, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- A•••••••• F•••• M••••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Oct 12, 2017, registered Jan 28, 2021 (1204 days) · Other
- A• G• E•••••• • S•••• I••• to A•••••••• F•••• M••••••••• L••left Jul 28, 2004, registered Apr 15, 2005 (261 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
- National broker-dealer RIAderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address