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.
- R•••• C•••••• state registered currentsince Jan 5, 2026 · Pasadena, Ca
- U••• B•••••• A•••••••• L•• BD affiliatedMay 4, 2015 to May 9, 2019 · Burbank, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedOct 1, 2013 to May 7, 2015 · Los Angeles, Ca
- B••••••• I••••••••• S•••••••• I••• ••••• formerApr 19, 2010 to Oct 11, 2013 · Northridge, Ca
- E•••• N••••••• S••••••••• I••• formerAug 12, 2009 to Apr 15, 2010 · Arcadia, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDDec 23, 2008 to Jul 8, 2009 · Los Angeles, Ca
- W•••• F•••• A••••••• wirehouseApr 16, 2007 to Dec 22, 2008 · La Canada, Ca
- W•••• F•••• I••••••••• L•• unclassifiedJan 16, 2006 to Aug 14, 2006 · Los Angeles, Ca
- U••• B•••••• A•••••••• L•• to R•••• C••••••left May 9, 2019, registered Jan 5, 2026 (2433 days) · Affiliated broker-dealer or bank to a state-registered adviser
- C•••••••• G••••• M•••••• I••• to U••• B•••••• A•••••••• L••left May 7, 2015, registered May 4, 2015 (-3 days) · Other · moved with a team
- B••••••• I••••••••• S•••••••• I••• ••••• to C•••••••• G••••• M•••••• I•••left Oct 11, 2013, registered Oct 1, 2013 (-10 days) · Other
- E•••• N••••••• S••••••••• I••• to B••••••• I••••••••• S•••••••• I••• •••••left Apr 15, 2010, registered Apr 19, 2010 (4 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to E•••• N••••••• S••••••••• I•••left Jul 8, 2009, registered Aug 12, 2009 (35 days) · Other
- W•••• F•••• A••••••• to A••••••••• F•••••••• S•••••••• L••left Dec 22, 2008, registered Dec 23, 2008 (1 days) · Wirehouse to affiliated broker-dealer or bank
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Aug 14, 2006, registered Apr 16, 2007 (245 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address