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.
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A••• N•••••••••
- V••••• I••••••••• A•••••••• L•• asset manager currentsince Sep 26, 2025 · Hartford, Ct
- L•• F•••••••• L•• BD affiliatedOct 28, 2022 to Sep 25, 2025 · San Diego, Ca
- V•••• C••••••••• • D••••••••• L•• unclassifiedJul 16, 2021 to Dec 17, 2022 · Hermosa Beach, Ca
- O•••• P•••••••• S••••••••• L•• BD affiliatedOct 16, 2020 to Jan 4, 2021 · Omaha, Ne
- B•••••• C•••••• I•• formerOct 30, 2017 to Oct 16, 2020 · Hermosa Beach, Ca
- L•• F•••••••• L•• to V••••• I••••••••• A•••••••• L••left Sep 25, 2025, registered Sep 26, 2025 (1 days) · Other
- V•••• C••••••••• • D••••••••• L•• to L•• F•••••••• L••left Dec 17, 2022, registered Oct 28, 2022 (-50 days) · Other
- O•••• P•••••••• S••••••••• L•• to V•••• C••••••••• • D••••••••• L••left Jan 4, 2021, registered Jul 16, 2021 (193 days) · Other
- B•••••• C•••••• I•• to O•••• P•••••••• S••••••••• L••left Oct 16, 2020, registered Oct 16, 2020 (0 days) · corporate re-registration, not a move
- A••• N••••••••• left L•• F•••••••• L•• for V••••• I••••••••• A•••••••• L•• (registered 2025-09-26)Sep 25, 2025 · Advisor changed firm · fact
- A••• N••••••••• left V•••• C••••••••• • D••••••••• L•• for L•• F•••••••• L•• (registered 2022-10-28)Dec 17, 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
- Asset manager (funds and pooled vehicles)derived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address