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.
S•••• K•• B•••••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Costa Mesa, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• formerFeb 21, 2019 to Mar 31, 2025 · N•••••• Beach, Ca
- T• A••••••••• I••••••••• M••••••••• L•• formerApr 1, 2009 to Feb 14, 2019 · Irvine, Ca
- T• A••••••••• I••• formerApr 1, 2009 to Feb 14, 2019 · Irvine, Ca
- N•••••• W••••• A•••••••• I••• independent RIAJan 4, 2008 to Dec 31, 2008 · N•••••• Beach, Ca
- N•••••• W••••• A•••••••• I••• independent RIAOct 8, 2007 to Dec 31, 2007 · N•••••• Beach, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDSep 20, 2005 to Sep 27, 2007 · Irvine, 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
- T• A••••••••• I••••••••• M••••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Feb 14, 2019, registered Feb 21, 2019 (7 days) · RIA to affiliated broker-dealer or bank
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Feb 14, 2019, registered Apr 1, 2009 (-3606 days) · channel change inside one enterprise, not a move
- N•••••• W••••• A•••••••• I••• to T• A••••••••• I•••left Dec 31, 2008, registered Apr 1, 2009 (91 days) · RIA to a newly registered adviser
- A••••••••• F•••••••• S•••••••• L•• to N•••••• W••••• A•••••••• I•••left Sep 27, 2007, registered Oct 8, 2007 (11 days) · Affiliated broker-dealer or bank to independent RIA
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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address