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.
E••••• E••••• O•••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Sep 4, 2026 · Anaheim, Ca
- A•••••• A••••••• S••••••• formerNov 3, 2021 to Sep 5, 2025 · Anaheim, Ca
- M•• I•••••••• S•••••••• L•• BD affiliatedFeb 12, 2019 to Oct 4, 2021 · Newport Beach, Ca
- C••••• A•••••• N••••••• L•• formerNov 9, 2018 to Feb 9, 2019 · Santa Ana, Ca
- H•• A••••••• S••••••• L•• independent RIAMay 30, 2018 to Feb 4, 2019 · Tustin, Ca
- P•••••••• S••••••••• I••• BD affiliatedSep 22, 2016 to Jun 5, 2018 · Irvine, Ca
- W•••••• • R••• formerJul 28, 2016 to Sep 12, 2016 · Irvine, Ca
- A•••••• A••••••• S••••••• to C••••• I••••••••• A••••••• L••left Sep 5, 2025, registered Sep 4, 2026 (364 days) · corporate re-registration, not a move
- M•• I•••••••• S•••••••• L•• to A•••••• A••••••• S•••••••left Oct 4, 2021, registered Nov 3, 2021 (30 days) · Affiliated broker-dealer or bank to another
- C••••• A•••••• N••••••• L•• to M•• I•••••••• S•••••••• L••left Feb 9, 2019, registered Feb 12, 2019 (3 days) · Affiliated broker-dealer or bank to another
- H•• A••••••• S••••••• L•• to C••••• A•••••• N••••••• L••left Feb 4, 2019, registered Nov 9, 2018 (-87 days) · RIA to affiliated broker-dealer or bank
- P•••••••• S••••••••• I••• to H•• A••••••• S••••••• L••left Jun 5, 2018, registered May 30, 2018 (-6 days) · Affiliated broker-dealer or bank to independent RIA
- W•••••• • R••• to P•••••••• S••••••••• I•••left Sep 12, 2016, registered Sep 22, 2016 (10 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address