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••••• P•••••
- S••••• W••••• A•••••••• I••• no RAUM currentsince Jan 23, 2026 · Orange, Ca
- A••••• A•• P••••••• S••••••• BD affiliatedMay 30, 2024 to Sep 4, 2025 · Irvine, Ca
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Feb 9, 2023 · Downey, Ca
- C•••• I••••••••• S••••••• C•••• formerMay 2, 2009 to Oct 1, 2012 · Lakewood, Ca
- W••• I••••••••• I••• unclassifiedApr 9, 2009 to May 2, 2009 · Lakewood, Ca
- C••••• A•••• M••••••••• independent RIAJan 30, 2008 to Feb 18, 2009 · Newport Beach, Ca
- P•••• S••••••••• L•• no RAUMJan 3, 2005 to Aug 5, 2005 · Irvine, Ca
- A••••• A•• P••••••• S••••••• to S••••• W••••• A•••••••• I•••left Sep 4, 2025, registered Jan 23, 2026 (141 days) · Other
- J••• M••••• S••••••••• L•• to A••••• A•• P••••••• S•••••••left Feb 9, 2023, registered May 30, 2024 (476 days) · Wirehouse to affiliated broker-dealer or bank
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- W••• I••••••••• I••• to C•••• I••••••••• S••••••• C••••left May 2, 2009, registered May 2, 2009 (0 days) · corporate re-registration, not a move
- C••••• A•••• M••••••••• to W••• I••••••••• I•••left Feb 18, 2009, registered Apr 9, 2009 (50 days) · Other
- P•••• S••••••••• L•• to C••••• A•••• M•••••••••left Aug 5, 2005, registered Jan 30, 2008 (908 days) · Other
- J••••• P••••• left A••••• A•• P••••••• S••••••• for S••••• W••••• A•••••••• I••• (registered 2026-01-23)Sep 4, 2025 · Advisor changed firm · fact
- J••••• P••••• left J••• M••••• S••••••••• L•• for A••••• A•• P••••••• S••••••• (registered 2024-05-30)Feb 9, 2023 · 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
- No RAUM reportedderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address