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•••••• A• B•••••
- L•• F•••••••• L•• BD affiliated currentsince Feb 14, 2025 · Manhattan Beach, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 2, 2016 to Feb 24, 2025 · Fountain Valley, Ca
- U••• B•••••• I••••••••• I••• formerApr 2, 2013 to May 2, 2016 · Rolling Hills Estates, Ca
- U••• B•••••• A•••••••• L•• BD affiliatedNov 3, 2010 to Apr 3, 2013 · Santa Monica, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedJun 1, 2009 to Oct 27, 2010 · Northridge, Ca
- C•••• I••••••••• S••••••• C•••• formerMay 2, 2009 to Jun 1, 2009 · Northridge, Ca
- W••• I••••••••• I••• unclassifiedDec 3, 2007 to May 2, 2009 · Northridge, Ca
- C•••••••• G••••• M•••••• I••• to L•• F•••••••• L••left Feb 24, 2025, registered Feb 14, 2025 (-10 days) · Affiliated broker-dealer or bank to another · moved with a team
- U••• B•••••• I••••••••• I••• to C•••••••• G••••• M•••••• I•••left May 2, 2016, registered May 2, 2016 (0 days) · Other
- U••• B•••••• A•••••••• L•• to U••• B•••••• I••••••••• I•••left Apr 3, 2013, registered Apr 2, 2013 (-1 days) · Other
- C•••••••• G••••• M•••••• I••• to U••• B•••••• A•••••••• L••left Oct 27, 2010, registered Nov 3, 2010 (7 days) · Other
- C•••• I••••••••• S••••••• C•••• to C•••••••• G••••• M•••••• I•••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · Other
- W••• I••••••••• I••• to C•••• I••••••••• S••••••• C••••left May 2, 2009, registered May 2, 2009 (0 days) · corporate re-registration, not a move
- J•••••• A• B••••• left C•••••••• G••••• M•••••• I••• for L•• F•••••••• L•• (registered 2025-02-14)Feb 24, 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address