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.
J•••• E• F•••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Carlsbad, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• formerFeb 17, 2022 to Mar 31, 2025 · Oceanside, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 10, 2021 to Nov 15, 2021 · Carlsbad, Ca
- T• A••••••••• I••••••••• M••••••••• L•• formerFeb 15, 2017 to Jan 20, 2021 · Carlsbad, Ca
- T• A••••••••• I••• formerFeb 15, 2017 to Jan 20, 2021 · Carlsbad, Ca
- E•••••••• A•••••••• L•• national BDAug 15, 2014 to Feb 17, 2017 · San Diego, Ca
- E••••• J•••• national BDMay 28, 2013 to Dec 12, 2013 · St Louis, Mo
- N••••••••• M••••• I••••••••• S••••••••• no RAUMMar 19, 2013 to May 17, 2013 · Carlsbad, 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
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Nov 15, 2021, registered Feb 17, 2022 (94 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- T• A••••••••• I••••••••• M••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jan 20, 2021, registered Feb 10, 2021 (21 days) · RIA to wirehouse
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Jan 20, 2021, registered Feb 15, 2017 (-1435 days) · channel change inside one enterprise, not a move · moved with a team
- E•••••••• A•••••••• L•• to T• A••••••••• I•••left Feb 17, 2017, registered Feb 15, 2017 (-2 days) · Other
- E••••• J•••• to E•••••••• A•••••••• L••left Dec 12, 2013, registered Aug 15, 2014 (246 days) · Affiliated broker-dealer or bank to another
- N••••••••• M••••• I••••••••• S••••••••• to E••••• J••••left May 17, 2013, registered May 28, 2013 (11 days) · Other
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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address