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•• E•••••• V•• M••••
- H•• A••••••• S••••••• L•• independent RIA currentsince Jan 1, 2025 · Simi Valley, Ca
- P•• W••••• M••••••••• BD affiliatedJul 7, 2023 to Apr 18, 2024 · Canyon Lake, Ca
- H•• A••••••• S••••••• L•• independent RIAFeb 25, 2022 to Jul 18, 2023 · Simi Valley, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 10, 2014 to Mar 1, 2022 · Riverside, Ca
- P•• W••••• M••••••••• to H•• A••••••• S••••••• L••left Apr 18, 2024, registered Jan 1, 2025 (258 days) · Affiliated broker-dealer or bank to independent RIA
- H•• A••••••• S••••••• L•• to P•• W••••• M•••••••••left Jul 18, 2023, registered Jul 7, 2023 (-11 days) · RIA to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to H•• A••••••• S••••••• L••left Mar 1, 2022, registered Feb 25, 2022 (-4 days) · Wirehouse to independent RIA
- R•• E•••••• V•• M•••• left P•• W••••• M••••••••• for H•• A••••••• S••••••• L•• (registered 2025-01-01)Apr 18, 2024 · Advisor changed firm · fact
- R•• E•••••• V•• M•••• left H•• A••••••• S••••••• L•• for P•• W••••• M••••••••• (registered 2023-07-07)Jul 18, 2023 · Advisor changed firm · fact
- R•• E•••••• V•• M•••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for H•• A••••••• S••••••• L•• (registered 2022-02-25)Mar 1, 2022 · 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
- Independent wealth managerderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address