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.
C••••••••• M•••••• A••••
- O•••• A••••••• S•••••••• L•• BD affiliated currentsince Oct 13, 2025 · Hermosa Beach, Ca
- O•••• W•••••• I••• BD affiliated currentsince Oct 13, 2025 · Hermosa Beach, Ca
- E•••••••• W••••• M••••••••• independent RIAMar 9, 2023 to Jun 27, 2025 · Seattle, Wa
- C•••••••• A••••••• independent RIASep 22, 2021 to Nov 12, 2022 · Boston, Ma
- R•• A••••••• L•• independent RIASep 30, 2014 to Aug 4, 2021 · Stamford, Ct
- A••••••••• F•••••••• S•••••••• L•• national BDMar 9, 2012 to Sep 4, 2014 · Rye Brook, Ny
- E•••••••• W••••• M••••••••• to O•••• W•••••• I•••left Jun 27, 2025, registered Oct 13, 2025 (108 days) · RIA to affiliated broker-dealer or bank
- C•••••••• A••••••• to E•••••••• W••••• M•••••••••left Nov 12, 2022, registered Mar 9, 2023 (117 days) · RIA to RIA
- R•• A••••••• L•• to C•••••••• A•••••••left Aug 4, 2021, registered Sep 22, 2021 (49 days) · RIA to RIA
- A••••••••• F•••••••• S•••••••• L•• to R•• A••••••• L••left Sep 4, 2014, registered Sep 30, 2014 (26 days) · Other
- C••••••••• M•••••• A•••• left E•••••••• W••••• M••••••••• for O•••• W•••••• I••• (registered 2025-10-13)Jun 27, 2025 · Advisor changed firm · fact
- C••••••••• M•••••• A•••• left C•••••••• A••••••• for E•••••••• W••••• M••••••••• (registered 2023-03-09)Nov 12, 2022 · 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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address