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.
B••••• C•••••••• H•••••
- N•••••••• P•••••••• L•• independent RIA currentsince Feb 20, 2026 · Minneapolis, Mn
- A••••••••• F•••••••• S•••••••• L•• national BDMar 30, 2021 to Jul 16, 2025 · Roseville, Ca
- U•• F•••••••• S••••••• I••• wirehouseSep 25, 2015 to Mar 16, 2021 · Sacramento, Ca
- A••••••••• F•••••••• S•••••••• L•• to N•••••••• P•••••••• L••left Jul 16, 2025, registered Feb 20, 2026 (219 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- U•• F•••••••• S••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Mar 16, 2021, registered Mar 30, 2021 (14 days) · Wirehouse to affiliated broker-dealer or bank
- B••••• C•••••••• H••••• left A••••••••• F•••••••• S•••••••• L•• for N•••••••• P•••••••• L•• (registered 2026-02-20)Jul 16, 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
- Independent wealth managerderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address