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.
A••••••••• E• D••••
- L•• F•••••••• L•• BD affiliated currentsince Jan 1, 2026 · Rancho Cordova, Ca
- F•••• independent RIAJan 19, 2023 to Apr 17, 2023 · West Palm Beach, Fl
- A••••••••• F•••••••• S•••••••• L•• national BDMay 2, 2016 to Oct 31, 2018 · Roseville, Ca
- M•• F•••••••• S•••••••• I••• formerFeb 4, 2015 to Mar 30, 2016 · Sacramento, Ca
- F•••• to L•• F•••••••• L••left Apr 17, 2023, registered Jan 1, 2026 (990 days) · RIA to affiliated broker-dealer or bank
- A••••••••• F•••••••• S•••••••• L•• to F••••left Oct 31, 2018, registered Jan 19, 2023 (1541 days) · Affiliated broker-dealer or bank to independent RIA
- M•• F•••••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Mar 30, 2016, registered May 2, 2016 (33 days) · Other
- A••••••••• E• D•••• left Facet for L•• F•••••••• L•• (registered 2026-01-01)Apr 17, 2023 · 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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address