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.
A•••••• C•••••
- O•••• I••••••••• I••• BD affiliated currentsince Jul 25, 2025 · West Orange, Nj
- A••••••••• F•••••••• S•••••••• L•• national BDFeb 2, 2022 to Aug 11, 2025 · San Diego, Ca
- P•• A••••••• independent RIAJul 8, 2020 to Jan 31, 2022 · San Diego, Ca
- E•••••••• A•••••••• L•• national BDFeb 7, 2019 to Jul 13, 2020 · San Diego, Ca
- P•••••••• A••••••• national BDMay 3, 2017 to Dec 14, 2018 · San Diego, Ca
- A••••••••• F•••••••• S•••••••• L•• to O•••• I••••••••• I•••left Aug 11, 2025, registered Jul 25, 2025 (-17 days) · Affiliated broker-dealer or bank to another
- P•• A••••••• to A••••••••• F•••••••• S•••••••• L••left Jan 31, 2022, registered Feb 2, 2022 (2 days) · RIA to affiliated broker-dealer or bank
- E•••••••• A•••••••• L•• to P•• A•••••••left Jul 13, 2020, registered Jul 8, 2020 (-5 days) · Affiliated broker-dealer or bank to independent RIA
- P•••••••• A••••••• to E•••••••• A•••••••• L••left Dec 14, 2018, registered Feb 7, 2019 (55 days) · Affiliated broker-dealer or bank to another
- A•••••• C••••• left A••••••••• F•••••••• S•••••••• L•• for O•••• I••••••••• I••• (registered 2025-07-25)Aug 11, 2025 · Advisor changed firm · fact
- A•••••• C••••• left P•• A••••••• for A••••••••• F•••••••• S•••••••• L•• (registered 2022-02-02)Jan 31, 2022 · 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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address