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.
- S••••••••• F•••••• L•• state registered currentsince Aug 27, 2025 · Tustin, Ca
- E••••• J•••• national BDOct 11, 2019 to Jan 25, 2021 · Foothill Ranch, Ca
- B••••••••• A•••• M••••••••• L•• independent RIASep 14, 2018 to Oct 8, 2019 · Irvine, Ca
- E•• F•••••••• A••••••• independent RIAApr 24, 2018 to Sep 11, 2018 · Irvine, Ca
- E••••• J•••• to S••••••••• F•••••• L••left Jan 25, 2021, registered Aug 27, 2025 (1675 days) · Affiliated broker-dealer or bank to a state-registered adviser
- B••••••••• A•••• M••••••••• L•• to E••••• J••••left Oct 8, 2019, registered Oct 11, 2019 (3 days) · RIA to affiliated broker-dealer or bank
- E•• F•••••••• A••••••• to B••••••••• A•••• M••••••••• L••left Sep 11, 2018, registered Sep 14, 2018 (3 days) · Affiliated broker-dealer or bank to independent RIA
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
- STATE REGISTEREDderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address