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••••• A• C•••••
- L•• F•••••••• L•• BD affiliated currentsince Jul 10, 2025 · Pasadena, Ca
- C•••••• G•••• • C• I•• formerJan 24, 2023 to Jul 10, 2025 · Los Gatos, Ca
- M•••••• A•••••• N•••••• BD affiliatedFeb 3, 2020 to Jan 27, 2023 · Pasadena, Ca
- B• R•••• W••••• A•••••••• I••• BD affiliatedApr 17, 2018 to Sep 20, 2018 · Alhambra, Ca
- K••••• A••••••• S•••••••• L•• BD affiliatedFeb 16, 2017 to Mar 29, 2018 · Alhambra, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 14, 2014 to Mar 2, 2017 · Los Angeles, Ca
- C•••••• G•••• • C• I•• to L•• F•••••••• L••left Jul 10, 2025, registered Jul 10, 2025 (0 days) · corporate re-registration, not a move
- M•••••• A•••••• N•••••• to C•••••• G•••• • C• I••left Jan 27, 2023, registered Jan 24, 2023 (-3 days) · RIA to affiliated broker-dealer or bank · moved with a team
- B• R•••• W••••• A•••••••• I••• to M•••••• A•••••• N••••••left Sep 20, 2018, registered Feb 3, 2020 (501 days) · Affiliated broker-dealer or bank to independent RIA
- K••••• A••••••• S•••••••• L•• to B• R•••• W••••• A•••••••• I•••left Mar 29, 2018, registered Apr 17, 2018 (19 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to K••••• A••••••• S•••••••• L••left Mar 2, 2017, registered Feb 16, 2017 (-14 days) · Other
- R••••• A• C••••• left M•••••• A•••••• N•••••• for C•••••• G•••• • C• I•• (registered 2023-01-24)Jan 27, 2023 · 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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address