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.
R••• S•••• A•••••
- U••• B•••••• A•••••••• L•• BD affiliated currentsince Feb 13, 2026 · Beverly Hills, Ca
- U••• B•••••• I••••••••• I••• formerOct 31, 2018 to Feb 13, 2026 · Los Angeles, Ca
- U••• B•••••• A•••••••• L•• BD affiliatedMay 4, 2017 to Oct 11, 2018 · Thousand Oaks, Ca
- N••••••••• M••••• I••••••••• S••••••••• no RAUMNov 30, 2016 to Mar 17, 2017 · Los Angeles, Ca
- W•••• F•••• A••••••• wirehouseAug 21, 2014 to Feb 10, 2016 · Beverly Hills, Ca
- W•••• F•••• A••••••• wirehouseOct 21, 2010 to Aug 26, 2013 · Irvine, Ca
- W•••• F•••• I••••••••• L•• unclassifiedMar 27, 2008 to Sep 2, 2010 · Newport Beach, Ca
- W•••• F•••• I••••••••• L•• unclassifiedApr 3, 2006 to May 5, 2006 · Santa Ana, Ca
- U••• B•••••• I••••••••• I••• to U••• B•••••• A•••••••• L••left Feb 13, 2026, registered Feb 13, 2026 (0 days) · corporate re-registration, not a move
- U••• B•••••• A•••••••• L•• to U••• B•••••• I••••••••• I•••left Oct 11, 2018, registered Oct 31, 2018 (20 days) · Affiliated broker-dealer or bank to another · moved with a team
- N••••••••• M••••• I••••••••• S••••••••• to U••• B•••••• A•••••••• L••left Mar 17, 2017, registered May 4, 2017 (48 days) · Other
- W•••• F•••• A••••••• to N••••••••• M••••• I••••••••• S•••••••••left Feb 10, 2016, registered Nov 30, 2016 (294 days) · Other
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Sep 2, 2010, registered Oct 21, 2010 (49 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address