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••• K••••••
- C••• P•••••• W••••• A•••••••• I••• BD affiliated currentsince May 14, 2025 · Denver, Co
- L••• independent RIAOct 5, 2018 to Jul 19, 2019 · Fort Lauderdale, Fl
- A••••• B•• C••••••• I••• independent RIAOct 29, 2013 to Dec 17, 2013 · Carlsbad, Ca
- L•• F•••••••• L•• BD affiliatedDec 19, 2012 to Sep 4, 2013 · Newport Beach, Ca
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Dec 18, 2012 · Chicago, Il
- C•••• I••••••••• S••••••• C•••• formerMar 9, 2011 to Oct 1, 2012 · Chicago, Il
- L•••• C•••••• G•••• formerApr 13, 2010 to Nov 30, 2010 · San Diego, Ca
- R•••••• J• L•••• C••••••••• I••• unclassifiedMay 23, 2008 to Oct 21, 2010 · San Diego, Ca
- L••• to C••• P•••••• W••••• A•••••••• I•••left Jul 19, 2019, registered May 14, 2025 (2126 days) · RIA to affiliated broker-dealer or bank
- A••••• B•• C••••••• I••• to L•••left Dec 17, 2013, registered Oct 5, 2018 (1753 days) · Other
- L•• F•••••••• L•• to A••••• B•• C••••••• I•••left Sep 4, 2013, registered Oct 29, 2013 (55 days) · Other
- J••• M••••• S••••••••• L•• to L•• F•••••••• L••left Dec 18, 2012, registered Dec 19, 2012 (1 days) · Other
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- L•••• C•••••• G•••• to C•••• I••••••••• S••••••• C••••left Nov 30, 2010, registered Mar 9, 2011 (99 days) · Other
- R•••••• J• L•••• C••••••••• I••• to L•••• C•••••• G••••left Oct 21, 2010, registered Apr 13, 2010 (-191 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
- 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