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.
H••••• D••••••
- D•••••• C•••••• A••••••• state registered currentsince Jan 1, 2026 · Manor, Tx
- D•••••• C•••••• A••••••• state registeredJun 23, 2021 to Dec 31, 2023 · Inglewood, Ca
- M•• I•••••••• S•••••••• L•• BD affiliatedSep 9, 2020 to Jan 5, 2021 · Pasadena, Ca
- M••••• S•••••• wirehouseJan 28, 2019 to Mar 5, 2020 · Beverly Hills, Ca
- P••• A••••• S••••••••• L•• BD affiliatedAug 11, 2017 to Dec 13, 2018 · Irvine, Ca
- W•••••• • R••• formerOct 19, 2016 to Jun 1, 2017 · Torrance, Ca
- M•• I•••••••• S•••••••• L•• to D•••••• C•••••• A•••••••left Jan 5, 2021, registered Jun 23, 2021 (169 days) · Affiliated broker-dealer or bank to a state-registered adviser
- M••••• S•••••• to M•• I•••••••• S•••••••• L••left Mar 5, 2020, registered Sep 9, 2020 (188 days) · Wirehouse to affiliated broker-dealer or bank
- P••• A••••• S••••••••• L•• to M••••• S••••••left Dec 13, 2018, registered Jan 28, 2019 (46 days) · Affiliated broker-dealer or bank to wirehouse
- W•••••• • R••• to P••• A••••• S••••••••• L••left Jun 1, 2017, registered Aug 11, 2017 (71 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
- STATE REGISTEREDderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address