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.
F•••• A•••••• V•••••••••
- T•• A•••••••• G•••• BD affiliated currentsince Jun 29, 2025 · Glendale, Ca
- O•••• W•••••• I••• BD affiliatedJun 14, 2024 to Jul 10, 2025 · Glendale, Ca
- S••••••••• A•••••• A•••••••• I••• formerOct 27, 2017 to Jun 14, 2024 · Glendale, Ca
- T•• E•••• F•••••••• N••••••• I••• unclassifiedAug 19, 2010 to Aug 22, 2011 · Huntington Beach, Ca
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerMay 1, 2009 to Nov 2, 2017 · Huntington Beach, Ca
- T•• E•••• F•••••••• N••••••• I••• unclassifiedJul 31, 2008 to Dec 31, 2009 · Huntington Beach, Ca
- O•••• W•••••• I••• BD affiliatedJul 12, 2007 to May 4, 2009 · Orange, Ca
- O•••• W•••••• I••• to T•• A•••••••• G••••left Jul 10, 2025, registered Jun 29, 2025 (-11 days) · Affiliated broker-dealer or bank to another · moved with a team
- S••••••••• A•••••• A•••••••• I••• to O•••• W•••••• I•••left Jun 14, 2024, registered Jun 14, 2024 (0 days) · corporate re-registration, not a move
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to T•• E•••• F•••••••• N••••••• I•••left Nov 2, 2017, registered Aug 19, 2010 (-2632 days) · Other · moved with a team
- T•• E•••• F•••••••• N••••••• I••• to S••••••••• A•••••• A•••••••• I•••left Aug 22, 2011, registered Oct 27, 2017 (2258 days) · Other
- T•• E•••• F•••••••• N••••••• I••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left Dec 31, 2009, registered May 1, 2009 (-244 days) · Other
- O•••• W•••••• I••• to T•• E•••• F•••••••• N••••••• I•••left May 4, 2009, registered Jul 31, 2008 (-277 days) · Other
- F•••• A•••••• V••••••••• left O•••• W•••••• I••• for T•• A•••••••• G•••• (registered 2025-06-29)Jul 10, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address