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.
K•••••• M•••• H•••••
- H••••• F•••••••• G••••• I••• independent RIA currentsince Dec 6, 2024 · Atascadero, Ca
- F•••••••• F•••• L•• independent RIAJan 14, 2016 to Feb 4, 2025 · Carlsbad, Ca
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerJul 8, 2014 to Oct 26, 2017 · Carlsbad, Ca
- H••••• F•••••••• G••••• I••• unclassifiedJan 28, 2013 to Jul 30, 2016 · Carlsbad, Ca
- L••••• F•••••••• G••••• I••• formerDec 3, 2009 to Jan 28, 2013 · L••••• Beach, Ca
- L•• F•••••••• L•• BD affiliatedJan 30, 2009 to Mar 18, 2010 · San Luis Obispo, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDFeb 21, 2005 to May 23, 2005 · San Luis Obispo, Ca
- F•••••••• F•••• L•• to H••••• F•••••••• G••••• I•••left Feb 4, 2025, registered Dec 6, 2024 (-60 days) · RIA to a newly registered adviser
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to F•••••••• F•••• L••left Oct 26, 2017, registered Jan 14, 2016 (-651 days) · Other · moved with a team
- H••••• F•••••••• G••••• I••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left Jul 30, 2016, registered Jul 8, 2014 (-753 days) · Other
- L••••• F•••••••• G••••• I••• to H••••• F•••••••• G••••• I•••left Jan 28, 2013, registered Jan 28, 2013 (0 days) · Other
- L•• F•••••••• L•• to L••••• F•••••••• G••••• I•••left Mar 18, 2010, registered Dec 3, 2009 (-105 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••left May 23, 2005, registered Jan 30, 2009 (1348 days) · Other
- K•••••• M•••• H••••• left F•••••••• F•••• L•• for H••••• F•••••••• G••••• I••• (registered 2024-12-06)Feb 4, 2025 · 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
- Independent wealth managerderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address