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.
C••• S•••• L•••
- P••••••• A•••••••• L•• independent RIA currentsince Apr 10, 2025 · San Francisco, Ca
- A••••••• F••••••••• L••• BD affiliatedJun 22, 2019 to Apr 4, 2025 · San Diego, Ca
- L•• F•••••••• L•• BD affiliatedJun 28, 2018 to Oct 3, 2018 · San Diego, Ca
- L•• F•••••••• I••• formerJan 27, 2011 to Jun 4, 2018 · San Jose, Ca
- L•• F•••••••• L•• BD affiliatedSep 18, 2008 to Dec 31, 2010 · San Diego, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 1, 2006 to Aug 26, 2008 · San Diego, Ca
- A••••••• F••••••••• L••• to P••••••• A•••••••• L••left Apr 4, 2025, registered Apr 10, 2025 (6 days) · Affiliated broker-dealer or bank to independent RIA
- L•• F•••••••• L•• to A••••••• F••••••••• L•••left Oct 3, 2018, registered Jun 22, 2019 (262 days) · RIA to RIA
- L•• F•••••••• I••• to L•• F•••••••• L••left Jun 4, 2018, registered Jun 28, 2018 (24 days) · Affiliated broker-dealer or bank to independent RIA
- L•• F•••••••• L•• to L•• F•••••••• I•••left Dec 31, 2010, registered Jan 27, 2011 (27 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•• F•••••••• L••left Aug 26, 2008, registered Sep 18, 2008 (23 days) · Other
- C••• S•••• L••• left A••••••• F••••••••• L••• for P••••••• A•••••••• L•• (registered 2025-04-10)Apr 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address