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.
- S•• BD affiliated currentsince Sep 24, 2025 · Ann Arbor, Mi
- L•• F•••••••• L•• BD affiliatedNov 18, 2021 to Sep 26, 2025 · El Monte, Ca
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedMar 23, 2020 to Nov 30, 2021 · Chino Hills, Ca
- L•• F•••••••• L•• BD affiliatedNov 29, 2017 to Apr 13, 2018 · West Covina, Ca
- T•••••• C••••••• I••• independent RIAJan 22, 2016 to Jan 29, 2020 · West Covina, Ca
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerMar 3, 2015 to Nov 29, 2017 · West Covina, Ca
- L•• F•••••••• L•• to S••left Sep 26, 2025, registered Sep 24, 2025 (-2 days) · Affiliated broker-dealer or bank to another
- T••••••••• F•••••••• A•••••••• L•• to L•• F•••••••• L••left Nov 30, 2021, registered Nov 18, 2021 (-12 days) · Affiliated broker-dealer or bank to another
- T•••••• C••••••• I••• to L•• F•••••••• L••left Jan 29, 2020, registered Nov 29, 2017 (-791 days) · RIA to RIA
- L•• F•••••••• L•• to T••••••••• F•••••••• A•••••••• L••left Apr 13, 2018, registered Mar 23, 2020 (710 days) · RIA to affiliated broker-dealer or bank
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to T•••••• C••••••• I•••left Nov 29, 2017, registered Jan 22, 2016 (-677 days) · Other · moved with a team
- D•••• D• L•• S••••• left L•• F•••••••• L•• for Spc (registered 2025-09-24)Sep 26, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address