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.
S•••••••• S••••••
- U••• B•••••• A•••••••• L•• BD affiliated currentsince Feb 13, 2026 · San Diego, Ca
- U••• B•••••• I••••••••• I••• formerJan 6, 2023 to Feb 13, 2026 · San Diego, Ca
- J••• M••••• S••••••••• L•• wirehouseAug 28, 2019 to Aug 17, 2022 · San Diego, Ca
- U••• B•••••• A•••••••• L•• BD affiliatedJul 25, 2018 to Apr 11, 2019 · Solana Beach, Ca
- E•••••••• A•••••••• L•• national BDDec 15, 2016 to Jul 12, 2018 · San Diego, Ca
- M•• F•••••••• S•••••••• I••• formerSep 23, 2015 to Nov 22, 2016 · San Diego, Ca
- W•••• F•••• A••••••• wirehouseAug 30, 2010 to Mar 11, 2015 · Radnor, Pa
- W•••• F•••• I••••••••• L•• unclassifiedMay 8, 2007 to Sep 1, 2009 · Montecito, Ca
- U••• B•••••• I••••••••• I••• to U••• B•••••• A•••••••• L••left Feb 13, 2026, registered Feb 13, 2026 (0 days) · corporate re-registration, not a move
- J••• M••••• S••••••••• L•• to U••• B•••••• I••••••••• I•••left Aug 17, 2022, registered Jan 6, 2023 (142 days) · Wirehouse to affiliated broker-dealer or bank
- U••• B•••••• A•••••••• L•• to J••• M••••• S••••••••• L••left Apr 11, 2019, registered Aug 28, 2019 (139 days) · Affiliated broker-dealer or bank to wirehouse
- E•••••••• A•••••••• L•• to U••• B•••••• A•••••••• L••left Jul 12, 2018, registered Jul 25, 2018 (13 days) · Affiliated broker-dealer or bank to another
- M•• F•••••••• S•••••••• I••• to E•••••••• A•••••••• L••left Nov 22, 2016, registered Dec 15, 2016 (23 days) · Other
- W•••• F•••• A••••••• to M•• F•••••••• S•••••••• I•••left Mar 11, 2015, registered Sep 23, 2015 (196 days) · Other
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Sep 1, 2009, registered Aug 30, 2010 (363 days) · Other
- S•••••••• S•••••• left J••• M••••• S••••••••• L•• for U••• B•••••• I••••••••• I••• (registered 2023-01-06)Aug 17, 2022 · 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address