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.
D••••• R••• D••••••
- P•••••• A•••••• G••••• L•• BD affiliated currentsince Jun 26, 2026 · Morristown, Nj
- L•• F•••••••• L•• BD affiliated currentsince Mar 5, 2025 · Monterey, Ca
- M•••••• A•••••• N•••••• BD affiliatedDec 20, 2021 to Jun 26, 2026 · Camarillo, Ca
- S••••• W••••• M••••••••• G••••• I••• independent RIAMar 11, 2014 to Dec 20, 2021 · Camarillo, Ca
- M•••••• A•••••• N•••••• to L•• F•••••••• L••left Jun 26, 2026, registered Mar 5, 2025 (-478 days) · Affiliated broker-dealer or bank to another · moved with a team
- S••••• W••••• M••••••••• G••••• I••• to M•••••• A•••••• N••••••left Dec 20, 2021, registered Dec 20, 2021 (0 days) · RIA to RIA · moved with a team
- D••••• R••• D•••••• left M•••••• A•••••• N•••••• for L•• F•••••••• L•• (registered 2025-03-05)Jun 26, 2026 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address