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.
M•••••• T••••• M•••••
- I••••••••• W••••• C••••••• L•• independent RIA currentsince Nov 1, 2024 · Broomfield, Co
- O••••••••• institutionalJul 1, 2020 to Jan 21, 2025 · San Diego, Ca
- C•• L•• independent RIADec 18, 2019 to Jul 1, 2020 · Long Beach, Ca
- C••••• A•••••• N••••••• L•• formerDec 18, 2019 to Jul 8, 2020 · Long Beach, Ca
- T• A••••••••• I••••••••• M••••••••• L•• formerJan 12, 2017 to Dec 5, 2019 · Long Beach, Ca
- T• A••••••••• I••• formerJan 12, 2017 to Dec 5, 2019 · Long Beach, Ca
- P••• A••••• S••••••••• L•• BD affiliatedOct 14, 2016 to Dec 20, 2016 · Irvine, Ca
- O••••••••• to I••••••••• W••••• C••••••• L••left Jan 21, 2025, registered Nov 1, 2024 (-81 days) · Other · moved with a team
- C••••• A•••••• N••••••• L•• to O•••••••••left Jul 8, 2020, registered Jul 1, 2020 (-7 days) · Other
- C•• L•• to C••••• A•••••• N••••••• L••left Jul 1, 2020, registered Dec 18, 2019 (-196 days) · RIA to affiliated broker-dealer or bank
- T• A••••••••• I••••••••• M••••••••• L•• to C•• L••left Dec 5, 2019, registered Dec 18, 2019 (13 days) · RIA to RIA
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Dec 5, 2019, registered Jan 12, 2017 (-1057 days) · channel change inside one enterprise, not a move
- P••• A••••• S••••••••• L•• to T• A••••••••• I•••left Dec 20, 2016, registered Jan 12, 2017 (23 days) · Other
- M•••••• T••••• M••••• left Onedigital for I••••••••• W••••• C••••••• L•• (registered 2024-11-01)Jan 21, 2025 · a•••••• firm change · 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
- Independent wealth managerderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address