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.
L••••••• S••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Aug 7, 2025 · Aiea, Hi
- B••••• A••••••• formerNov 30, 2018 to Aug 11, 2025 · Honolulu, Hi
- J••• M••••• S••••••••• L•• wirehouseMay 8, 2013 to Sep 13, 2018 · Los Angeles, Ca
- B••••••• I••••••••• S•••••••• I••• ••••• formerDec 20, 2011 to Apr 25, 2013 · Los Angeles, Ca
- E•••• N••••••• S••••••••• I••• formerFeb 17, 2010 to Dec 5, 2011 · Santa Fe, Ca
- L•• F•••••••• L•• BD affiliatedJan 9, 2009 to Feb 17, 2010 · Santa Fe Springs, Ca
- B••••• A••••••• to C••••• I••••••••• A••••••• L••left Aug 11, 2025, registered Aug 7, 2025 (-4 days) · RIA to affiliated broker-dealer or bank · moved with a team
- J••• M••••• S••••••••• L•• to B••••• A•••••••left Sep 13, 2018, registered Nov 30, 2018 (78 days) · Wirehouse to independent RIA
- B••••••• I••••••••• S•••••••• I••• ••••• to J••• M••••• S••••••••• L••left Apr 25, 2013, registered May 8, 2013 (13 days) · Other
- E•••• N••••••• S••••••••• I••• to B••••••• I••••••••• S•••••••• I••• •••••left Dec 5, 2011, registered Dec 20, 2011 (15 days) · Other
- L•• F•••••••• L•• to E•••• N••••••• S••••••••• I•••left Feb 17, 2010, registered Feb 17, 2010 (0 days) · Other
- L••••••• S•• left B••••• A••••••• for C••••• I••••••••• A••••••• L•• (registered 2025-08-07)Aug 11, 2025 · 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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address