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.
T••••• A•••••• W•••••
- E••••• W••••• A•••••••• L•• independent RIA currentsince Oct 16, 2025 · Walnut Creek, Ca
- E•••••• A••••••• G••••• L•• BD affiliatedApr 3, 2023 to Jul 16, 2025 · Greenwood Village, Co
- P••••••• C•••••• A••••••• C••••••••• formerOct 25, 2021 to Apr 3, 2023 · Ojai, Ca
- F••••• I••••••••• independent RIAJul 23, 2013 to Oct 15, 2021 · Plano, Tx
- C••• F•••••••• S•••••••• L••• formerApr 12, 2011 to Sep 20, 2011 · Capitola, Ca
- W•••• F•••• I••••••••• L•• unclassifiedSep 7, 2007 to Dec 14, 2010 · Santa Cruz, Ca
- E•••••• A••••••• G••••• L•• to E••••• W••••• A•••••••• L••left Jul 16, 2025, registered Oct 16, 2025 (92 days) · Affiliated broker-dealer or bank to independent RIA
- P••••••• C•••••• A••••••• C••••••••• to E•••••• A••••••• G••••• L••left Apr 3, 2023, registered Apr 3, 2023 (0 days) · corporate re-registration, not a move
- F••••• I••••••••• to P••••••• C•••••• A••••••• C•••••••••left Oct 15, 2021, registered Oct 25, 2021 (10 days) · RIA to RIA
- C••• F•••••••• S•••••••• L••• to F••••• I•••••••••left Sep 20, 2011, registered Jul 23, 2013 (672 days) · Other
- W•••• F•••• I••••••••• L•• to C••• F•••••••• S•••••••• L•••left Dec 14, 2010, registered Apr 12, 2011 (119 days) · Other
- T••••• A•••••• W••••• left E•••••• A••••••• G••••• L•• for E••••• W••••• A•••••••• L•• (registered 2025-10-16)Jul 16, 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
- Independent wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address