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.
D••••• O•••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · El Segundo, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• formerSep 20, 2022 to Mar 31, 2025 · El Segundo, Ca
- E•••••• C•••••• M••••••••• L•• formerApr 16, 2010 to Jul 28, 2022 · Arlington, Va
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 29, 2007 to Jun 22, 2009 · Riverside, Ca
- C••••••• I••••••••• S••••••• unclassifiedJun 6, 2006 to May 29, 2007 · Cypress, Ca
- M••••• S•••••• D• I••• unclassifiedAug 2, 2005 to Jun 7, 2006 · Irvine, Ca
- U•• F•••••••• S••••••• I••• wirehouseApr 19, 2005 to Jul 29, 2005 · Newport Beach, 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
- E•••••• C•••••• M••••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 28, 2022, registered Sep 20, 2022 (54 days) · RIA to affiliated broker-dealer or bank
- C•••••••• G••••• M•••••• I••• to E•••••• C•••••• M••••••••• L••left Jun 22, 2009, registered Apr 16, 2010 (298 days) · Other
- C••••••• I••••••••• S••••••• to C•••••••• G••••• M•••••• I•••left May 29, 2007, registered May 29, 2007 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to C••••••• I••••••••• S•••••••left Jun 7, 2006, registered Jun 6, 2006 (-1 days) · Other
- U•• F•••••••• S••••••• I••• to M••••• S•••••• D• I•••left Jul 29, 2005, registered Aug 2, 2005 (4 days) · Other
- D••••• O••••• left E•••••• C•••••• M••••••••• L•• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2022-09-20)Jul 28, 2022 · 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
- National broker-dealer RIAderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address