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•••••• A••••• H••••••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Seal Beach, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• formerNov 22, 2021 to Mar 31, 2025 · Salt Lake City, Ut
- C••• B•••••••• S•••••••• I••• formerDec 7, 2012 to Oct 28, 2021 · Tustin, Ca
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Nov 27, 2012 · El Segundo, Ca
- W•••• F•••• I••••••••• L•• unclassifiedDec 24, 2008 to Jan 3, 2011 · Anaheim, 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
- C••• B•••••••• S•••••••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••left Oct 28, 2021, registered Nov 22, 2021 (25 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to C••• B•••••••• S•••••••• I•••left Nov 27, 2012, registered Dec 7, 2012 (10 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
- 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