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••••• A• R••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Sep 5, 2025 · Stevenson Ranch, Ca
- A•••••• A••••••• S••••••• formerDec 18, 2020 to Sep 5, 2025 · Dallas, Tx
- U••• B•••••• A•••••••• L•• BD affiliatedAug 14, 2017 to Dec 1, 2020 · Panorama City, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 20, 2012 to Jul 27, 2017 · Los Angeles, Ca
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Feb 28, 2012 · Beverly Hills, Ca
- W•••• F•••• I••••••••• L•• unclassifiedOct 9, 2008 to Jan 3, 2011 · Valencia, Ca
- A•••••• A••••••• S••••••• to C••••• I••••••••• A••••••• L••left Sep 5, 2025, registered Sep 5, 2025 (0 days) · corporate re-registration, not a move
- U••• B•••••• A•••••••• L•• to A•••••• A••••••• S•••••••left Dec 1, 2020, registered Dec 18, 2020 (17 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U••• B•••••• A•••••••• L••left Jul 27, 2017, registered Aug 14, 2017 (18 days) · Other
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 28, 2012, registered Mar 20, 2012 (21 days) · Wirehouse to wirehouse
- 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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address