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•• E••••••
- R•• S••••••••• I••• BD affiliated currentsince Mar 2, 2026 · Irvine, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDSep 16, 2024 to Feb 24, 2026 · Costa Mesa, Ca
- L•• F•••••••• L•• BD affiliatedJul 19, 2023 to Sep 17, 2024 · Huntington Beach, Ca
- B••••••• I••••••••• S•••••••• I••• ••••• formerOct 18, 2018 to Jul 19, 2023 · Newport Beach, Ca
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Oct 19, 2018 · Irvine, Ca
- W•••• F•••• I••••••••• L•• unclassifiedAug 18, 2008 to Jan 3, 2011 · Mission Viejo, Ca
- A••••••••• F•••••••• S•••••••• L•• to R•• S••••••••• I•••left Feb 24, 2026, registered Mar 2, 2026 (6 days) · Affiliated broker-dealer or bank to another
- L•• F•••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Sep 17, 2024, registered Sep 16, 2024 (-1 days) · Affiliated broker-dealer or bank to another
- B••••••• I••••••••• S•••••••• I••• ••••• to L•• F•••••••• L••left Jul 19, 2023, registered Jul 19, 2023 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to B••••••• I••••••••• S•••••••• I••• •••••left Oct 19, 2018, registered Oct 18, 2018 (-1 days) · Wirehouse to affiliated broker-dealer or bank
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- A•• E•••••• left A••••••••• F•••••••• S•••••••• L•• for R•• S••••••••• I••• (registered 2026-03-02)Feb 24, 2026 · Advisor changed firm · fact
- A•• E•••••• left L•• F•••••••• L•• for A••••••••• F•••••••• S•••••••• L•• (registered 2024-09-16)Sep 17, 2024 · 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address