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.
C•••••• J••••••
- V••••••••• A••••••• S••••••• BD affiliated currentsince Oct 10, 2025 · Irvine, Ca
- S•••• W••••• M••••••••• L•• BD affiliatedJul 1, 2021 to Oct 31, 2025 · Irvine, Ca
- C••••••••• • A••••••••• independent RIAMay 9, 2013 to Jun 14, 2021 · Anaheim, Ca
- S•••• W••••• M••••••••• L•• to V••••••••• A••••••• S•••••••left Oct 31, 2025, registered Oct 10, 2025 (-21 days) · Affiliated broker-dealer or bank to another · moved with a team
- C••••••••• • A••••••••• to S•••• W••••• M••••••••• L••left Jun 14, 2021, registered Jul 1, 2021 (17 days) · RIA to affiliated broker-dealer or bank
- C•••••• J•••••• left S•••• W••••• M••••••••• L•• for V••••••••• A••••••• S••••••• (registered 2025-10-10)Oct 31, 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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address