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••••• P••••
- U•• F•••••••• S••••••• I••• wirehouse currentsince Jul 3, 2025 · La Jolla, Ca
- T••••• M••••••••• L•• independent RIAApr 4, 2024 to May 12, 2025 · San Diego, Ca
- U•• F•••••••• S••••••• I••• wirehouseSep 6, 2017 to Apr 9, 2024 · Weehawken, Nj
- T••••• M••••••••• L•• to U•• F•••••••• S••••••• I•••left May 12, 2025, registered Jul 3, 2025 (52 days) · RIA to wirehouse
- U•• F•••••••• S••••••• I••• to T••••• M••••••••• L••left Apr 9, 2024, registered Apr 4, 2024 (-5 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- H••••• P•••• left T••••• M••••••••• L•• for U•• F•••••••• S••••••• I••• (registered 2025-07-03)May 12, 2025 · Advisor changed firm · fact
- H••••• P•••• left U•• F•••••••• S••••••• I••• for T••••• M••••••••• L•• (registered 2024-04-04)Apr 9, 2024 · 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