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••••••• D• L•••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · San Ysidro, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• formerJun 9, 2022 to Mar 31, 2025 · San Ysidro, Ca
- W•••• F•••• A••••••• wirehouseDec 19, 2016 to Mar 14, 2022 · La Jolla, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 5, 2015 to Jan 5, 2016 · Bonita, Ca
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Nov 26, 2014 · Chula Vista, Ca
- W•••• F•••• I••••••••• L•• unclassifiedMar 27, 2009 to Jan 3, 2011 · San Diego, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Mar 14, 2022, registered Jun 9, 2022 (87 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Jan 5, 2016, registered Dec 19, 2016 (349 days) · Wirehouse to wirehouse
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 26, 2014, registered Aug 5, 2015 (252 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
- A••••••• D• L••• left W•••• F•••• A••••••• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2022-06-09)Mar 14, 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
- National broker-dealer RIAderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address