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.
N•••• B•••••
- F•••• C••••••• I••••••• S•••••••• I••• BD affiliated currentsince Jan 1, 2025 · Pasadena, Ca
- U••• B•••••• A•••••••• L•• BD affiliatedMay 6, 2019 to Apr 26, 2023 · San Diego, Ca
- B••••••• I••••••••• S•••••••• I••• ••••• formerAug 27, 2014 to Apr 5, 2019 · La Jolla, Ca
- H••• S••••••••• •••• I••• BD affiliatedApr 4, 2013 to May 29, 2014 · San Ysidro, Ca
- W•••• F•••• A••••••• wirehouseJun 8, 2010 to Mar 12, 2012 · Richboro, Pa
- W•••• F•••• I••••••••• L•• unclassifiedNov 26, 2007 to Apr 27, 2010 · Laguna Niguel, Ca
- U••• B•••••• A•••••••• L•• to F•••• C••••••• I••••••• S•••••••• I•••left Apr 26, 2023, registered Jan 1, 2025 (616 days) · Affiliated broker-dealer or bank to another
- B••••••• I••••••••• S•••••••• I••• ••••• to U••• B•••••• A•••••••• L••left Apr 5, 2019, registered May 6, 2019 (31 days) · Affiliated broker-dealer or bank to another
- H••• S••••••••• •••• I••• to B••••••• I••••••••• S•••••••• I••• •••••left May 29, 2014, registered Aug 27, 2014 (90 days) · Other
- W•••• F•••• A••••••• to H••• S••••••••• •••• I•••left Mar 12, 2012, registered Apr 4, 2013 (388 days) · Other
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Apr 27, 2010, registered Jun 8, 2010 (42 days) · Other
- N•••• B••••• left U••• B•••••• A•••••••• L•• for F•••• C••••••• I••••••• S•••••••• I••• (registered 2025-01-01)Apr 26, 2023 · 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