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.
M•••••• A•••• S•••••
- L•• F•••••••• L•• BD affiliated currentsince Jun 3, 2025 · San Diego, Ca
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Oct 30, 2013 · Ventura, Ca
- C•••• I••••••••• S••••••• C•••• formerJun 27, 2011 to Oct 1, 2012 · Ventura, Ca
- S•••••••• F••••••••• I••• formerApr 26, 2011 to Jun 2, 2011 · Camarillo, Ca
- W•••• F•••• I••••••••• L•• unclassifiedMay 30, 2005 to Oct 2, 2009 · Oxnard, Ca
- J••• M••••• S••••••••• L•• to L•• F•••••••• L••left Oct 30, 2013, registered Jun 3, 2025 (4234 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
- S•••••••• F••••••••• I••• to C•••• I••••••••• S••••••• C••••left Jun 2, 2011, registered Jun 27, 2011 (25 days) · Other
- W•••• F•••• I••••••••• L•• to S•••••••• F••••••••• I•••left Oct 2, 2009, registered Apr 26, 2011 (571 days) · Other
- M•••••• A•••• S••••• added a TX registration at L•• F•••••••• L••Sep 17, 2026 · New state registration · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address