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.
D•• J••••• N•••••
- U••• B•••••• A•••••••• L•• BD affiliated currentsince Feb 13, 2026 · Woodland Hills, Ca
- U••• B•••••• I••••••••• I••• formerOct 26, 2018 to Feb 13, 2026 · Los Angeles, Ca
- U••• B•••••• A•••••••• L•• BD affiliatedMay 1, 2017 to Oct 11, 2018 · Ventura, Ca
- O•••• I••••••••• I••• BD affiliatedFeb 15, 2017 to May 4, 2017 · Woodland Hills, Ca
- R•• M••••••••• I••• unclassifiedFeb 6, 2017 to Mar 20, 2017 · Oak Park, Ca
- R•• M••••••••• I••• unclassifiedApr 15, 2016 to Dec 31, 2016 · Calabasas, Ca
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Jan 20, 2016 · Westlake Village, Ca
- W•••• F•••• I••••••••• L•• unclassifiedAug 11, 2008 to Jan 3, 2011 · Calabasas, Ca
- U••• B•••••• I••••••••• I••• to U••• B•••••• A•••••••• L••left Feb 13, 2026, registered Feb 13, 2026 (0 days) · corporate re-registration, not a move
- U••• B•••••• A•••••••• L•• to U••• B•••••• I••••••••• I•••left Oct 11, 2018, registered Oct 26, 2018 (15 days) · Affiliated broker-dealer or bank to another · moved with a team
- O•••• I••••••••• I••• to U••• B•••••• A•••••••• L••left May 4, 2017, registered May 1, 2017 (-3 days) · Other
- R•• M••••••••• I••• to O•••• I••••••••• I•••left Mar 20, 2017, registered Feb 15, 2017 (-33 days) · Other
- W•••• F•••• A••••••• to R•• M••••••••• I•••left Jan 20, 2016, registered Apr 15, 2016 (86 days) · Other
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
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