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• P••••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · San Diego, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• formerMay 5, 2022 to Mar 31, 2025 · San Diego, Ca
- F••••• I••••••••• independent RIAAug 20, 2021 to Apr 10, 2022 · Carlsbad, Ca
- T• A••••••••• I••• formerJun 6, 2013 to Aug 20, 2021 · Chesterfield, Mo
- T• A••••••••• I••••••••• M••••••••• L•• formerJun 6, 2013 to Aug 20, 2021 · Chesterfiled, Mo
- P•• W••••• M••••••••• BD affiliatedOct 11, 2012 to May 15, 2013 · St. Louis, Mo
- P•• W••••• M••••••••• BD affiliatedFeb 1, 2010 to Mar 23, 2012 · Town And Country, Mo
- 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
- F••••• I••••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Apr 10, 2022, registered May 5, 2022 (25 days) · RIA to affiliated broker-dealer or bank
- T• A••••••••• I••••••••• M••••••••• L•• to F••••• I•••••••••left Aug 20, 2021, registered Aug 20, 2021 (0 days) · RIA to RIA
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Aug 20, 2021, registered Jun 6, 2013 (-2997 days) · channel change inside one enterprise, not a move
- P•• W••••• M••••••••• to T• A••••••••• I•••left May 15, 2013, registered Jun 6, 2013 (22 days) · Other
- A•••••• D• P•••••• left F••••• I••••••••• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2022-05-05)Apr 10, 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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address