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.
G••• C••••••• H••••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Tustin, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• formerApr 9, 2019 to Mar 31, 2025 · San F••••••••, Ca
- A••••• A•• P••••••• S••••••• BD affiliatedMay 22, 2014 to Oct 12, 2018 · San F••••••••, Ca
- T•• A••••••• G•••• O• S•• F••••••••• L•• independent RIAOct 19, 2011 to May 7, 2014 · San F••••••••, Ca
- C••••••••• W••• • C• I•• independent RIAJul 31, 2008 to Jun 21, 2011 · San Diego, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- A••••• A•• P••••••• S••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Oct 12, 2018, registered Apr 9, 2019 (179 days) · Affiliated broker-dealer or bank to another
- T•• A••••••• G•••• O• S•• F••••••••• L•• to A••••• A•• P••••••• S•••••••left May 7, 2014, registered May 22, 2014 (15 days) · Other
- C••••••••• W••• • C• I•• to T•• A••••••• G•••• O• S•• F••••••••• L••left Jun 21, 2011, registered Oct 19, 2011 (120 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
- National broker-dealer RIAderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address