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.
J••••• D• K•••••
- P•••••• W••••• M••••••••• L•• independent RIA currentsince Apr 25, 2025 · San Francisco, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 6, 2020 to Apr 28, 2025 · Newport Beach, Ca
- W•••• F•••• I••••••••• L•• unclassifiedJan 30, 2006 to Feb 5, 2007 · Los Angeles, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P•••••• W••••• M••••••••• L••left Apr 28, 2025, registered Apr 25, 2025 (-3 days) · Wirehouse to independent RIA
- W•••• F•••• I••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 5, 2007, registered Mar 6, 2020 (4778 days) · Other
- J••••• D• K••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for P•••••• W••••• M••••••••• L•• (registered 2025-04-25)Apr 28, 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