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.
P••••••••• T•• D•••
- M•• C•••••• M••••••••• L•• independent RIA currentsince Nov 12, 2025 · Los Angeles, Ca
- E•••• A••••••• independent RIADec 18, 2020 to Sep 4, 2026 · Los Angeles, Ca
- J••• M••••• P•••••• W••••• A••••••• L•• formerApr 11, 2017 to Feb 3, 2020 · Los Angeles, Ca
- U•• F•••••••• S••••••• I••• wirehouseMar 3, 2009 to Apr 14, 2017 · Walnut Creek, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedOct 17, 2007 to Mar 12, 2009 · Pleasanton, Ca
- W•••• F•••• I••••••••• L•• unclassifiedFeb 21, 2005 to Nov 8, 2006 · Torrance, Ca
- E•••• A••••••• to M•• C•••••• M••••••••• L••left Sep 4, 2026, registered Nov 12, 2025 (-296 days) · corporate re-registration, not a move
- J••• M••••• P•••••• W••••• A••••••• L•• to E•••• A•••••••left Feb 3, 2020, registered Dec 18, 2020 (319 days) · Affiliated broker-dealer or bank to independent RIA
- U•• F•••••••• S••••••• I••• to J••• M••••• P•••••• W••••• A••••••• L••left Apr 14, 2017, registered Apr 11, 2017 (-3 days) · Other
- C•••••••• G••••• M•••••• I••• to U•• F•••••••• S••••••• I•••left Mar 12, 2009, registered Mar 3, 2009 (-9 days) · Other
- W•••• F•••• I••••••••• L•• to C•••••••• G••••• M•••••• I•••left Nov 8, 2006, registered Oct 17, 2007 (343 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
- Independent wealth managerderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address