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.
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- U••• B•••••• A•••••••• L•• BD affiliated currentsince Feb 13, 2026 · Woodland Hills, Ca
- U••• B•••••• I••••••••• I••• formerNov 8, 2018 to Feb 13, 2026 · Los Angeles, Ca
- U••• B•••••• A•••••••• L•• BD affiliatedNov 29, 2016 to Oct 3, 2018 · Woodland Hills, Ca
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Nov 10, 2016 · Radnor, Pa
- W•••• F•••• I••••••••• L•• unclassifiedMar 30, 2005 to Jan 3, 2011 · Calabasas, 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 3, 2018, registered Nov 8, 2018 (36 days) · Affiliated broker-dealer or bank to another · moved with a team
- W•••• F•••• A••••••• to U••• B•••••• A•••••••• L••left Nov 10, 2016, registered Nov 29, 2016 (19 days) · Other
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address