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.
A•••• T••••••••
- U•• F•••••••• S••••••• I••• wirehouse currentsince Aug 21, 2025 · La Jolla, Ca
- L•• E••••••••• L•• BD affiliatedAug 22, 2024 to Nov 14, 2024 · Fort Mill, Sc
- C••••••••• F•••••••• N•••••• national BDOct 31, 2023 to Mar 25, 2024 · San Dimas, Ca
- C••••••••• F•••••••• N•••••• national BDDec 8, 2020 to Apr 11, 2023 · San Diego, Ca
- W••••••••• A••••••• L•• BD affiliatedJul 8, 2017 to Sep 19, 2018 · Palo Alto, Ca
- W•••••• S••••••••• I••• BD affiliatedJun 2, 2015 to May 31, 2017 · Pasadena, Ca
- P••••••••• S••••••••• C••••••••• independent RIAApr 2, 2015 to Jun 3, 2015 · Carpinteria, Ca
- N•• A•••••• S•••••••• L•• formerJun 20, 2012 to Apr 24, 2014 · Austin, Tx
- L•• F•••••••• L•• BD affiliatedAug 18, 2008 to Apr 20, 2012 · San Diego, Ca
- L•• E••••••••• L•• to U•• F•••••••• S••••••• I•••left Nov 14, 2024, registered Aug 21, 2025 (280 days) · Other
- C••••••••• F•••••••• N•••••• to L•• E••••••••• L••left Mar 25, 2024, registered Aug 22, 2024 (150 days) · Affiliated broker-dealer or bank to a newly registered adviser
- W••••••••• A••••••• L•• to C••••••••• F•••••••• N••••••left Sep 19, 2018, registered Dec 8, 2020 (811 days) · RIA to affiliated broker-dealer or bank
- W•••••• S••••••••• I••• to W••••••••• A••••••• L••left May 31, 2017, registered Jul 8, 2017 (38 days) · Other
- P••••••••• S••••••••• C••••••••• to W•••••• S••••••••• I•••left Jun 3, 2015, registered Jun 2, 2015 (-1 days) · Other
- N•• A•••••• S•••••••• L•• to P••••••••• S••••••••• C•••••••••left Apr 24, 2014, registered Apr 2, 2015 (343 days) · Other
- L•• F•••••••• L•• to N•• A•••••• S•••••••• L••left Apr 20, 2012, registered Jun 20, 2012 (61 days) · Other
- A•••• T•••••••• left L•• E••••••••• L•• for U•• F•••••••• S••••••• I••• (registered 2025-08-21)Nov 14, 2024 · a•••••• firm change · fact
- A•••• T•••••••• left C••••••••• F•••••••• N•••••• for L•• E••••••••• L•• (registered 2024-08-22)Mar 25, 2024 · a•••••• firm change · 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
- Wirehousederived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address