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.
T••• M• H••••••
- S•••• W••••• M••••••••• L•• state registered currentsince Mar 11, 2026 · Miami Beach, Fl
- S•••• W••••• M••••••••• L•• state registeredJan 7, 2022 to Feb 3, 2024 · Miami Beach, Fl
- S•• I••••••••• A•••••••• I••• formerFeb 3, 2016 to Dec 2, 2021 · Monterey, Ca
- S•••••••• A••••••• L•• national BDNov 19, 2014 to Jan 29, 2016 · Monterey, Ca
- S••••••••• A•••••• A•••••••• I••• formerApr 16, 2014 to Oct 8, 2014 · Seaside, Ca
- L•• F•••••••• L•• BD affiliatedFeb 14, 2008 to Apr 15, 2014 · Monterey, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 8, 2006 to Jun 19, 2007 · Monterey, Ca
- N•••••••• P••••••• A••••••••• I••• independent RIAApr 1, 2005 to Sep 8, 2006 · Bedford, Nh
- S•• I••••••••• A•••••••• I••• to S•••• W••••• M••••••••• L••left Dec 2, 2021, registered Jan 7, 2022 (36 days) · Affiliated broker-dealer or bank to a state-registered adviser
- S•••••••• A••••••• L•• to S•• I••••••••• A•••••••• I•••left Jan 29, 2016, registered Feb 3, 2016 (5 days) · Other
- S••••••••• A•••••• A•••••••• I••• to S•••••••• A••••••• L••left Oct 8, 2014, registered Nov 19, 2014 (42 days) · Other
- L•• F•••••••• L•• to S••••••••• A•••••• A•••••••• I•••left Apr 15, 2014, registered Apr 16, 2014 (1 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•• F•••••••• L••left Jun 19, 2007, registered Feb 14, 2008 (240 days) · Other
- N•••••••• P••••••• A••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 8, 2006, registered Nov 8, 2006 (61 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
- STATE REGISTEREDderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address