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.
I••• J•••••
- J•••••• E••••• W••••• M••••••••• L•• former currentsince May 19, 2025 · Downey, Ca
- N•••••••• E••• asset managerNov 22, 2024 to Jun 2, 2025 · Downey, Ca
- C•••••••• F••••••••• I••• BD affiliatedMay 31, 2019 to May 19, 2025 · Anaheim, Ca
- N•••••••• E••• to J•••••• E••••• W••••• M••••••••• L••left Jun 2, 2025, registered May 19, 2025 (-14 days) · Other
- C•••••••• F••••••••• I••• to N•••••••• E•••left May 19, 2025, registered Nov 22, 2024 (-178 days) · Affiliated broker-dealer or bank to a newly registered adviser
- I••• J••••• left N•••••••• E••• for J•••••• E••••• W••••• M••••••••• L•• (registered 2025-05-19)Jun 2, 2025 · Advisor changed firm · fact
- I••• J••••• left C•••••••• F••••••••• I••• for N•••••••• E••• (registered 2024-11-22)May 19, 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
- Former SEC-registered adviserderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address