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.
R••• F••••••••• B••••
- L•• F•••••••• L•• BD affiliated currentsince Sep 18, 2025 · Westlake Village, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDJul 16, 2021 to Sep 25, 2025 · Agoura Hills, Ca
- J••• M••••• S••••••••• L•• wirehouseSep 10, 2015 to Jul 28, 2021 · Newbury Park, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 5, 2012 to Jun 19, 2015 · Westlake Village, Ca
- A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••left Sep 25, 2025, registered Sep 18, 2025 (-7 days) · Affiliated broker-dealer or bank to another
- J••• M••••• S••••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Jul 28, 2021, registered Jul 16, 2021 (-12 days) · Wirehouse to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• S••••••••• L••left Jun 19, 2015, registered Sep 10, 2015 (83 days) · Wirehouse to wirehouse · moved with a team
- R••• F••••••••• B•••• left A••••••••• F•••••••• S•••••••• L•• for L•• F•••••••• L•• (registered 2025-09-18)Sep 25, 2025 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address