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.
M••• P••••••• M••••••
- J••• M••••• S••••••••• L•• wirehouse currentsince May 22, 2025 · Ramona, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 22, 2022 to May 20, 2025 · San Diego, Ca
- T• A••••••••• I••••••••• M••••••••• L•• formerMar 5, 2018 to Apr 20, 2021 · San Diego, Ca
- T• A••••••••• I••• formerMar 5, 2018 to Apr 20, 2021 · San Diego, Ca
- S•••••••• I••••••••• M••••••••• formerFeb 24, 2017 to Mar 5, 2018 · Saint Louis, Mo
- R•• C•••••• M••••••• L•• national BDMay 16, 2016 to Feb 16, 2017 · Escondido, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• S••••••••• L••left May 20, 2025, registered May 22, 2025 (2 days) · Wirehouse to wirehouse · moved with a team
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Apr 20, 2021, registered Mar 5, 2018 (-1142 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Apr 20, 2021, registered Mar 5, 2018 (-1142 days) · Other
- S•••••••• I••••••••• M••••••••• to T• A••••••••• I•••left Mar 5, 2018, registered Mar 5, 2018 (0 days) · Other
- R•• C•••••• M••••••• L•• to S•••••••• I••••••••• M•••••••••left Feb 16, 2017, registered Feb 24, 2017 (8 days) · Other
- M••• P••••••• M•••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for J••• M••••• S••••••••• L•• (registered 2025-05-22)May 20, 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
- Wirehousederived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address