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.
P•••• A•••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Oct 21, 2025 · Upland, Ca
- C•••••• S••••• • C••• I••• national BDAug 9, 2021 to Oct 17, 2025 · Pasadena, Ca
- W•••• F•••• A••••••• wirehouseNov 30, 2020 to Jul 30, 2021 · Santa Barbara, Ca
- C•••••• S••••• • C••• I••• to J••• M••••• S••••••••• L••left Oct 17, 2025, registered Oct 21, 2025 (4 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- W•••• F•••• A••••••• to C•••••• S••••• • C••• I•••left Jul 30, 2021, registered Aug 9, 2021 (10 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- P•••• A••••• left C•••••• S••••• • C••• I••• for J••• M••••• S••••••••• L•• (registered 2025-10-21)Oct 17, 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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address