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.
V••••• E•••• G••••••
- E•••• F•••••••• P••••••• former currentsince Mar 25, 2025 · San Diego, Ca
- O••••• I••••••••• A••••••• L•• independent RIAFeb 12, 2021 to Apr 19, 2021 · San Diego, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 14, 2019 to Jun 17, 2020 · San Diego, Ca
- C••• F•••••••• S•••••••• L••• formerMar 1, 2017 to Jun 1, 2018 · Chula Vista, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 9, 2014 to Mar 10, 2017 · San Diego, Ca
- U••• B•••••• A•••••••• L•• BD affiliatedSep 30, 2013 to Sep 19, 2014 · San Diego, Ca
- O••••• I••••••••• A••••••• L•• to E•••• F•••••••• P•••••••left Apr 19, 2021, registered Mar 25, 2025 (1436 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to O••••• I••••••••• A••••••• L••left Jun 17, 2020, registered Feb 12, 2021 (240 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- C••• F•••••••• S•••••••• L••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 1, 2018, registered Jan 14, 2019 (227 days) · Affiliated broker-dealer or bank to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••• F•••••••• S•••••••• L•••left Mar 10, 2017, registered Mar 1, 2017 (-9 days) · Other
- U••• B•••••• A•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 19, 2014, registered Oct 9, 2014 (20 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
- Former SEC-registered adviserderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address